| 17-01523 | 02/13/2019 | Claimant(s): Ion Zupcu, Rodica Zupcu
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Kenneth Christman, Stifel, Nicolaus & Co.., Theresa Scott
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
|  | Expungement |
| 15-01408 | 08/02/2016 | Claimant(s): Randi Dukoff
Claimant Lawyers(s): Timothy J. O'Connor, Esq.
Respondent(s): Joel Joachim, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 13-00325 | 02/16/2016 | Claimant(s): David Silipigno
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Vincent C. Pangia, Ira A. Auerbach, Clifford C. Rohde
Hearing Site: Albany, NY
| | $593,540 |
| 09-06840 | 10/03/2013 | Claimant(s): Deborah Taylor
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Donald Hunter
Respondent Lawyers(s): Donald Horton Hunter
Arbitrator(s): James J. Brearton, Edward MacLean Warren, Jennifer L. Bliss
Hearing Site: Albany, NY
| | $155,495 |
| 12-01106 | 08/13/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): David Ayres
Respondent Lawyers(s): Timothy J. O'Connor
Arbitrator(s): Howard B. Cohen, Rocco Michael Scanza, Francis Xavior Daumen
Hearing Site: Syracuse, NY
| | |
| 09-05638 | 10/05/2010 | Claimant(s): Peter Baltis
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): George Danes, Morgan Stanley
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Orestes J. Mihaly, Jennifer L. Bliss, John J. Henry
Hearing Site: Albany, NY
| | $0 |
| 08-00893 | 05/06/2009 | Claimant(s): Donald Burnham, Jr., Kelly Burnham
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bruce Cramer
Arbitrator(s): Marc R. Green, Brian J. Burstin, Kenneth Dymond
Hearing Site: Albany, NY
| | $0 |
| 06-05154 | 12/27/2007 | Claimant(s): Devora Tilson, Property Management of Jack Tilson
Claimant Lawyers(s): William A. Rome
Respondent(s): Thomas Kershner, Kennerman Associates.
Respondent Lawyers(s): Timothy J. O'Connor
Arbitrator(s): Robert J. Kheel, Kenneth B. Cutler, John N. Polakas
Hearing Site: New York, NY
| | $0 |
| 04-06712 | 12/13/2007 | Claimant(s): Deborah Magnotta, Estate of Gloria C. Amato, Estate of Joseph T. Amato
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Melvin Steuerman, Michael T. Curley, Chester Burger
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
