| 20-03273 | 02/26/2021 | Claimant(s): NYLife Securities LLC, New York Life Insurance Company
Claimant Lawyers(s): Richard F. Lubarsky
Respondent(s): Gina Adly
Respondent Lawyers(s): Gina Adly
Arbitrator(s): John Richard Lynch
Hearing Site: Boca Raton, FL
| | |
| 18-01805 | 08/27/2020 | Claimant(s): Atlantic Vue Towers., E.A.R.E. Corp., Coral Gables Trust Company
Claimant Lawyers(s): Kenneth Catanzarite
Respondent(s): Cindy Briggs, David Bernstein, Donald Gunn, Frederick Kraus, Richard Frueh, Richard Nummi
Respondent Lawyers(s): Burton W. Wiand, Cindy Susan Briggs, David H. Jarvis, David John Bernstein, Frederick Oscar Kraus, Richard Mark Nummi
Arbitrator(s): John Richard Lynch, Will Murphy, Christopher J. Klein
Hearing Site: Miami, FL
|  | $0 |
| 16-01703 | 05/23/2017 | Claimant(s): Camille Burns, Kevin Burns
Claimant Lawyers(s): Ken Abele
Respondent(s): Wells Fargo Advisors, Ameriprise Financial Services., Steven Levin
Respondent Lawyers(s): Demian J. Betz, Edward Walton
Arbitrator(s): John Richard Lynch
Hearing Site: Miami, FL
| | Expungement |
| 14-00037 | 08/25/2014 | Claimant(s): Francisco Pascual
Claimant Lawyers(s): Francisco Pascual
Respondent(s): Beta Capital Management, L.P.
Respondent Lawyers(s): Robert T. Kofman
Arbitrator(s): John Richard Lynch
Hearing Site: Miami, FL
| | |
| 12-03187 | 11/25/2013 | Claimant(s): James Walsh
Claimant Lawyers(s): James M. Walsh
Respondent(s): Jeffrey Briggs, Mitchell Pizzirusso, Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): John Richard Lynch
Hearing Site: Buffalo, NY
| | $0 |
| 11-02630 | 03/22/2012 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Michelle Young
Respondent(s): Kimberly Herkert and John Herkert, Jr.
Respondent Lawyers(s): Kimberly Herkert
Arbitrator(s): John Richard Lynch
Hearing Site: Albany, NY
| | $0 |
| 09-06914 | 03/08/2011 | Claimant(s): Edwin Christensen
Claimant Lawyers(s): Richard D. De Vita
Respondent(s): Rocco Mongelli
Respondent Lawyers(s): Robert Bertsch
Arbitrator(s): John Richard Lynch
Hearing Site: Albany, NY
| | Stipulated Award |
| 08-01356 | 07/21/2010 | Claimant(s): Dorene Dorn
Claimant Lawyers(s): Dorene K. Dorn
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): John Richard Lynch, Kenneth Dymond, Brian F. Mumford
Hearing Site: Albany, NY
| | |
| 08-00568 | 03/20/2009 | Claimant(s): The TTees of the Masonic Hall and Asylum
Claimant Lawyers(s): Brian J. Butler
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): Brian J. Burstin, Dale S. Cronnell, John Richard Lynch
Hearing Site: Albany, NY
| | $30,600,600 |
