| 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
| | |
| 09-05490 | 06/08/2010 | Claimant(s): Estate of Zona Mrus by Mary Wickett, Exe
Claimant Lawyers(s): David K. Silverberg
Respondent(s): Robert Vogel, Advantage Capital Corporation
Respondent Lawyers(s): Laurie Styka Bloom
Arbitrator(s): Howard B. Cohen
Hearing Site: Buffalo, NY
|  | $0 |
| 09-06192 | 04/19/2010 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Noah D. Sorkin
Respondent(s): Mario Camillo
Respondent Lawyers(s): Mario J. Camillo
Arbitrator(s): Frank C. Fogl
Hearing Site: Buffalo, NY
| | |
| 09-05367 | 03/29/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Richard Pascucci
Respondent Lawyers(s): Richard Peter Pascucci
Arbitrator(s): David L. Hoffberg
Hearing Site: Buffalo, NY
| | |
| 06-04943 | 02/17/2010 | Claimant(s): Dann Neale, Kevin Cougle
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Richard D. Rosenbloom, Joan B. Alexander, Frederick N.C. Jerauld
Hearing Site: Buffalo, NY
| | |
| 08-02919 | 09/01/2009 | Claimant(s): William Gurney
Claimant Lawyers(s): William H. Gurney
Respondent(s): Robert Lewis, Lewis Management Corporation
Respondent Lawyers(s): George V.C. Muscato
Arbitrator(s): David Buch, Vincent Micciche, Karin A. Schlosser
Hearing Site: Buffalo, NY
| | Expungement |
| 09-00442 | 08/03/2009 | Claimant(s): Rohan Russell
Claimant Lawyers(s): Rohan Russell
Respondent(s): Northgate Securities Inc.
Respondent Lawyers(s): Robert Yrshus
Arbitrator(s): Elizabeth K. Norsworthy
Hearing Site: Buffalo, NY
| | $9,325 |
| 08-02145 | 04/23/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Frank Kim
Respondent Lawyers(s): Michael A. Smeader
Arbitrator(s): Anthony Vitanza, Randolph Guggenheimer, Alan Kenneth Scheff
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 |
