| 10-03694 | 03/25/2011 | Claimant(s): Mary Gabor
Claimant Lawyers(s): Mary Ellen Gabor
Respondent(s): Emir Culov, HSBC Securities (USA) Inc.
Respondent Lawyers(s): Meredith L. Friedman
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
|  | $158 |
| 09-01992 | 03/14/2011 | Claimant(s): Carl Mielnicki, Donald Knicley, Frederick Krause, Thomas Leo
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Frank C. Fogl, Jeffrey Mark Schwartz, Ralph L. Halpern
Hearing Site: Rochester, NY
| | $0 |
| 09-07144 | 07/08/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Anthony Dicesare
Respondent Lawyers(s): Anthony DiCesare
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
| | |
| 08-00160 | 03/26/2009 | Claimant(s): Michael Doran
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Ralph L. Halpern, David L. Hoffberg, Alan Kenneth Scheff
Hearing Site: Buffalo, NY
| | Stipulated Award |
| 08-00521 | 02/20/2009 | Claimant(s): Stephanie Pinto, Stephanie Pinto TTEE for Pinto Family, Stephanie Pinto TTEE of Stephen Gambino
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Daniel M. Mankowski, Ralph L. Halpern, Ronald Ripstein
Hearing Site: Buffalo, NY
| | $0 |
| 06-05309 | 06/12/2008 | Claimant(s): Roxanne Brooker
Claimant Lawyers(s): James G Brooker
Respondent(s): Anne Saeva, Chase Investment Services Corp., Paula Fritz
Respondent Lawyers(s): Carolyn G. Nussbaum
Arbitrator(s): Ralph L. Halpern, Karin A. Schlosser, Frederick N.C. Jerauld
Hearing Site: Buffalo, NY
| | |
