| 18-04352 | 08/14/2019 | Claimant(s): Gary Meshell
Claimant Lawyers(s): Gary B. Meshell
Respondent(s): Gary Stern, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
|  | Expungement |
| 18-02161 | 06/05/2019 | Claimant(s): Peter Calderon
Claimant Lawyers(s): Peter J. Calderon
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | $0 |
| 18-00661 | 03/04/2019 | Claimant(s): John Gagliardo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates, Thomas J. Cahill
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 15-02634 | 03/01/2019 | Claimant(s): Gordon Dootson
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma, Stephen Grivas
Arbitrator(s): Joseph J. Arata, David S. Billet, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $160,153 |
| 17-02062 | 02/11/2019 | Claimant(s): ING Capital Markets LLC
Claimant Lawyers(s): Joel S. Forman
Respondent(s): Terence Dolan, Benjamin & Jerold Brokerage I
Respondent Lawyers(s): Robert G. Heim
Arbitrator(s): Annamaria Boccia Smith, Stephanie Levinson Lee, Alan Robert Sacks
Hearing Site: New York, NY
| | $957,599 |
| 18-02592 | 01/30/2019 | Claimant(s): Ivan Shore
Claimant Lawyers(s): John Coster
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Madelyn A. Levy, Mary Ellen Burns, Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 18-01850 | 01/15/2019 | Claimant(s): Lawrence Sorace
Claimant Lawyers(s): Dochtor Kenendy
Respondent(s): PNC Investments
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | |
| 17-00482 | 10/31/2018 | Claimant(s): Timothy Zaino
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Michael J. Dee
Arbitrator(s): Annamaria Boccia Smith, Brian John Gallagher, Jeffrey Zuckerman
Hearing Site: New York, NY
| | |
| 18-01257 | 10/25/2018 | Claimant(s): Adolphus Bratton
Claimant Lawyers(s): Adolphus Bratton
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | $88 |
| 18-01234 | 09/24/2018 | Claimant(s): Anthony Domino
Claimant Lawyers(s): John Stewart
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Stephen H. Broer
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
