| 11-01714 | 06/13/2013 | Claimant(s): Ralph Sergott
Claimant Lawyers(s): Jahan Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Ronald W. Devoe, Thomas Joseph Atkinson, Stephen A. Saker
Hearing Site: Orlando, FL
|  | Expungement |
| 11-03457 | 05/28/2013 | Claimant(s): Abbe Heller, Howard Diamond
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): David Boudreau, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Theodore L. Leeb, Leonard Arthur Nelson, Olusola Olayinka Oyeyemi
Hearing Site: Chicago, IL
| | Expungement |
| 12-01701 | 05/22/2013 | Claimant(s): Gladys Cheringal
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Charles L. Prothero, Bernard M. Levine, Bryan David Glass
Hearing Site: Newark, NJ
| | Expungement |
| 11-02573 | 04/03/2013 | Claimant(s): Leslie Goldberg
Claimant Lawyers(s): Steven E. Cole
Respondent(s): Alan Singer, Wells Fargo Advisors
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Richard A. Scalfani, Stuart M. Schwartz, Ralph L. Halpern
Hearing Site: Syracuse, NY
| | Expungement |
| 11-01387 | 04/02/2013 | Claimant(s): Robert Scanlon and Donna Scanlon
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Stuart Rothenstein, William C. Soo-Hoo, John J. Vesey
Hearing Site: New York, NY
| | Expungement |
| 11-00687 | 01/16/2013 | Claimant(s): Kenneth M. Mahoney & Linda Mahoney, TIC
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Marc S. Piven, Myron E. Levenson, Robert H. Loevin
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03986 | 09/06/2012 | Claimant(s): William B. Brown
Claimant Lawyers(s): William B. Brown
Respondent(s): UBS Financial Services Inc., Michele Aldo
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Alun Hywel Jones, James W. Kambas, Martin J. DeGennaro
Hearing Site: Hartford, CT
| | $0 |
| 11-00605 | 07/03/2012 | Claimant(s): Alexander Schernecke
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Wells Fargo Advisors, Jamie Baraldi, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano, Brian A. Carlis, Edward W. Larkin
Arbitrator(s): Sheldon Seligsohn, Jerry Schuchman, Frank P. Santangelo
Hearing Site: Philadelphia, PA
| | Expungement |
| 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 |
| 10-02215 | 12/12/2011 | Claimant(s): Frederick Horn
Claimant Lawyers(s): Janice L. Malecki
Respondent(s): James Carey, UBS Financial Services Inc., Margaret Carey
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Abigail J. Pessen, Eugene G. P. Byrne, Scott W. Mulford
Hearing Site: New York, NY
| | Expungement |
