| 12-03268 | 03/27/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L Lathrop
Respondent(s): Timothy Sobolewski
Respondent Lawyers(s): Joanne A. Schultz
Arbitrator(s): Christopher C. Willett
Hearing Site: Buffalo, NY
| | |
| 11-03561 | 03/15/2013 | Claimant(s): Alan Hainsworth
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
|  | Expungement |
| 11-03222 | 01/18/2013 | Claimant(s): John Wassenaar
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): CF Global Trading
Respondent Lawyers(s): Lainie E. Cohen
Arbitrator(s): Kathleen Hoey Gorr, Katherine Levitan, Francis Xavior Daumen
Hearing Site: Buffalo, NY
| | |
| 11-04163 | 09/25/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Mark Manly
Respondent Lawyers(s): Mark E. Manly
Arbitrator(s): Richard D. Rosenbloom
Hearing Site: Buffalo, NY
| | |
| 11-02972 | 08/08/2012 | Claimant(s): Mildred Simonian
Claimant Lawyers(s): Richard A. Clack
Respondent(s): John Lunghino, Securities America., Wall Street Financial Group., First Metlife Investors Insurance Co.
Respondent Lawyers(s): Dennis C. Dice, Jessica Levine
Arbitrator(s): Jennifer L. Bliss
Hearing Site: Buffalo, NY
| | Expungement |
| 11-02012 | 07/30/2012 | Claimant(s): Wallace Ward
Claimant Lawyers(s): August M. Iorio
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): A. Inge Selden
Arbitrator(s): Jennifer L. Bliss
Hearing Site: Buffalo, NY
| | Expungement |
| 11-03289 | 06/18/2012 | Claimant(s): Wall Street Financial Group.
Claimant Lawyers(s): Michael Schwartzberg
Respondent(s): Walter Grenda
Respondent Lawyers(s): Walter Grenda
Arbitrator(s): Peter A.P. Dunlop
Hearing Site: Buffalo, NY
| | |
| 11-02582 | 02/10/2012 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly Davis
Respondent(s): Richard Pascucci
Respondent Lawyers(s): Richard Peter Pascucci
Arbitrator(s): Kenneth Dymond
Hearing Site: Buffalo, NY
| | |
| 10-04800 | 02/09/2012 | Claimant(s): Shawn Dailey
Claimant Lawyers(s): David K. Silverberg
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michelle E. Phillips
Arbitrator(s): Richard A. Scalfani, Frank C. Fogl, Allan H. Kaminsky
Hearing Site: Buffalo, NY
| | |
| 10-04068 | 12/13/2011 | Claimant(s): Charmaine Kaltrider
Claimant Lawyers(s): R. Scott Atwater
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stephen Nosek, Timothy McNamara, McNamara-Nosek Group
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Christopher C. Willett, David E. McNabb, John William Comstock
Hearing Site: Buffalo, NY
| | $728,961 |
