| 13-03595 | 07/11/2018 | Claimant(s): EFCO Products Defined Contribution, EFCO Products Defined Contribution Union, EFCO Products Profit Sharing/401(K) Plan
Claimant Lawyers(s): Sandra P. Lanhens
Respondent(s): Candace Weir, C. L. King & Associates.
Respondent Lawyers(s): Christopher Robertson, Richard A. Roth
Arbitrator(s): Dan Brecher, Daniel Robbins, Annamaria Boccia Smith
Hearing Site: New York, NY
|  | $0 |
| 17-01429 | 06/07/2018 | Claimant(s): Vincent Molinari
Claimant Lawyers(s): Alan Wolper
Respondent(s): Ouisa Capital LLC
Respondent Lawyers(s): Vince Molinari
Arbitrator(s): Richard W. Cutler, Ellen Slipp, Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 17-02353 | 05/16/2018 | Claimant(s): Frank Iosso Jr, Marie G. Iosso et al.
Claimant Lawyers(s): Frank Iosso
Respondent(s): Daniel Magier, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Robert E. Anderson, Annamaria Boccia Smith, Morton S. Bunis
Hearing Site: Newark, NJ
| | Expungement |
| 16-03163 | 01/19/2018 | Claimant(s): Eileen Hrzich, James Hrzich
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Alice E. Winkler, Annamaria Boccia Smith, John Michael Richardson
Hearing Site: New York, NY
| | $0 |
| 17-02129 | 12/14/2017 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): John J Allegretto
Respondent(s): Jonathan Fetner
Respondent Lawyers(s): Jonathan B Fetner
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | |
| 17-01464 | 12/11/2017 | Claimant(s): Joseph Bancheri, Michael Lupton
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Joan M. Traub, Annamaria Boccia Smith, Sean F. Monahan
Hearing Site: New York, NY
| | |
| 16-02019 | 08/25/2017 | Claimant(s): Laidlaw & Company (uk) Ltd.
Claimant Lawyers(s): Ross D Carmel
Respondent(s): Marc Reda
Respondent Lawyers(s): Marc Augustus Reda
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 15-00070 | 08/04/2017 | Claimant(s): Estate of Margaret Riggs
Claimant Lawyers(s): Alan P. Fraade
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Advisors, Michael Tepperman
Respondent Lawyers(s): Zachary S. Knoblock
Arbitrator(s): Linda Ashley, Annamaria Boccia Smith, Louis P. Wagman
Hearing Site: New York, NY
| | Expungement |
| 16-01768 | 05/10/2017 | Claimant(s): Richard Kenny
Claimant Lawyers(s): Brian Kennedy
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): M. Lee Johnsey
Arbitrator(s): Annamaria Boccia Smith, Edward Farrelly Smith, William James Cortellessa
Hearing Site: New York, NY
| | |
| 16-02169 | 04/20/2017 | Claimant(s): Carol Cohen, Martin Cohen
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Annamaria Boccia Smith, Benjamin L. Anderson, Steven Hale Zousmer
Hearing Site: New York, NY
| | Expungement |
