| 17-02349 | 06/26/2018 | Claimant(s): Todd Allen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY
| | |
| 17-00740 | 06/13/2018 | Claimant(s): Frank A. Rossi Sr and Catherine M. Rossi
Claimant Lawyers(s): Kevin T. O'Brien
Respondent(s): James Honaker, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Richard W. Dissen, L. Paul Kehoe, Ronald F Thompson
Hearing Site: Buffalo, NY
|  | $11,316 |
| 17-00672 | 06/07/2018 | Claimant(s): Kenneth A. Manning, Executor
Claimant Lawyers(s): David K Silverberg
Respondent(s): Michael Giokas, Giokas Wealth Advisors
Respondent Lawyers(s): Michael Giokas
Arbitrator(s): James S. Parker, Krista Gottlieb, Gary E Vickers
Hearing Site: Buffalo, NY
| | $80,768 |
| 17-01778 | 11/07/2017 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L. Lathrop
Respondent(s): Terry Bahgat
Respondent Lawyers(s): Terry Dean Bahgat
Arbitrator(s): Robert J. Scafuri
Hearing Site: Buffalo, NY
| | |
| 15-00585 | 11/02/2017 | Claimant(s): Elizabeth Jachles
Claimant Lawyers(s): Jason J. Kane
Respondent(s): American Portfolios Financial Services
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Thomas E. Webb, Richard D. Rosenbloom, Krista Gottlieb
Hearing Site: Buffalo, NY
| | $461,390 |
| 16-01360 | 08/17/2017 | Claimant(s): Rebecca Gillette
Claimant Lawyers(s): Michael S. Smith
Respondent(s): Dominick Ferranto, Jason Lashbrook, Edward Jones
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Anthony D. McCaffrey, Kevin R. Zehe, Ira A. Auerbach
Hearing Site: Buffalo, NY
| | |
| 16-01568 | 07/13/2017 | Claimant(s): Louis Falvo
Claimant Lawyers(s): Peter J. Glennon
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Michael P. Hennigan, Peter A.P. Dunlop, Paul Tichauer
Hearing Site: Buffalo, NY
| | |
| 16-03559 | 05/30/2017 | Claimant(s): Alan Rosen
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Gregg Koch, John Piro
Respondent Lawyers(s): Howard F. Greenberg, John Lawlor
Arbitrator(s): William M. Azkoul
Hearing Site: Buffalo, NY
| | $400 |
| 15-01964 | 01/19/2017 | Claimant(s): Keith Condemi
Claimant Lawyers(s): Linda H. Joseph
Respondent(s): Mark Kolta
Respondent Lawyers(s): David L. Rosenthal
Arbitrator(s): Krista Gottlieb
Hearing Site: Buffalo, NY
| | |
| 13-02129 | 09/02/2016 | Claimant(s): Carol Skop, John Skop
Claimant Lawyers(s): Howard B. Cohen
Respondent(s): Russell Grosjean, Timothy Dembski
Respondent Lawyers(s): Eric Soehnlein, Russell James Grosjean
Arbitrator(s): F. Harris Nichols, Kathleen Hoey Gorr, Andrea Bailey
Hearing Site: Buffalo, NY
| | Expungement |
