| 18-02708 | 07/15/2019 | Claimant(s): Jesse Erdle, Lissette Erdle
Claimant Lawyers(s): Jesse Erdle
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John K. Gisleson
Arbitrator(s): Jeffry M. Bauer, John C. Aten, Paul K. Stecker
Hearing Site: Buffalo, NY
|  | $0 |
| 16-03454 | 04/25/2019 | Claimant(s): James Fitzpatrick, Sandra Fitzpatrick, The Fitzpatrick Family Trust
Claimant Lawyers(s): Jason J. Kane
Respondent(s): AXA Advisors
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain, Thomas E. Webb, Krista Gottlieb
Hearing Site: Buffalo, NY
| | $3,181,830 |
| 18-02383 | 04/10/2019 | Claimant(s): Lauren Gidley
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Gerald W. Hepp
Hearing Site: Buffalo, NY
| | |
| 18-01434 | 12/13/2018 | Claimant(s): Eugene Richardson
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Ira A. Auerbach
Hearing Site: Buffalo, NY
| | |
| 16-00361 | 12/11/2018 | Claimant(s): Versel Green
Claimant Lawyers(s): Versel Green
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Maryann Donahue-Yadon, Ralph L. Halpern, Kenneth Dymond
Hearing Site: Buffalo, NY
| | $0 |
| 18-01194 | 11/15/2018 | Claimant(s): Kevin Gildner, Shawn Derrick, Commonwealth Financial Network
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Jeffry M. Bauer, Michael P. Hennigan, Clifford C. Rohde
Hearing Site: Buffalo, NY
| | |
| 18-00261 | 10/31/2018 | Claimant(s): John Tyczynski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gleacher & Company Securities., Legg Mason Wood Walker
Respondent Lawyers(s): Annis Kwok, Rosemary Francavilla
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY
| | |
| 17-02152 | 10/17/2018 | Claimant(s): Antonia Barone
Claimant Lawyers(s): Joanne A Schultz
Respondent(s): James Haskins, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Michael A. Orticelle, Steven C. Kempisty, L. Paul Kehoe
Hearing Site: Buffalo, NY
| | $0 |
| 18-00029 | 09/14/2018 | Claimant(s): Charles LaRocco
Claimant Lawyers(s): Eric Litow
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Daniela Paez
Arbitrator(s): Michael J. Meeusen
Hearing Site: Buffalo, NY
| | |
| 17-00821 | 07/27/2018 | Claimant(s): David Ulrich
Claimant Lawyers(s): Thomas H. Brandt
Respondent(s): Roosevelt & Crossorporated
Respondent Lawyers(s): Sandra P. Lahens
Arbitrator(s): Tracy L. Allen, Patrick M. Markey, John C. Aten
Hearing Site: Buffalo, NY
| | Expungement |
