| 12-02491 | 05/08/2015 | Claimant(s): George Carlo, Luis Sepulveda
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Barry Cassese, Charles Carrillo, Louis Ward, Michael Finnan, Paul Metz, K.C. Ward Financial, Morgan Wilshire Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Robert I. Rabinowitz
Arbitrator(s): Mitchell Jay Bayer, John J. Vesey, Howard A. Baker
Hearing Site: New York, NY
| | |
| 13-00883 | 10/10/2013 | Claimant(s): Sara Mabon
Claimant Lawyers(s): Noam Besdin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): John J. Vesey
Hearing Site: New York, 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 |
| 10-00547 | 02/23/2012 | Claimant(s): Pamela Wolf
Claimant Lawyers(s): Charles J. Hecht
Respondent(s): Luis Marino, Steven Goldfarb
Respondent Lawyers(s): Jonathan Sack, Robert M. Van De Veire
Arbitrator(s): William A. Hohauser, John J. Vesey, Gregory J. Getz
Hearing Site: New York, NY
| | $0 |
| 11-02496 | 01/09/2012 | Claimant(s): Evelyn Salter
Claimant Lawyers(s): Evelyn Salter
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer S. Reiser
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
| | $0 |
| 11-01042 | 11/16/2011 | Claimant(s): Raffaele Gambardella
Claimant Lawyers(s): Richard A. Roth
Respondent(s): Sebastian Bongiovanni
Respondent Lawyers(s): Sebastian G. Bongiovanni
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
| | |
| 10-00548 | 07/14/2011 | Claimant(s): Joan Martin
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stuart G. Brooks
Arbitrator(s): Robert J. Kheel, Domitilia M. dos Santos, John J. Vesey
Hearing Site: New York, NY
| | $0 |
| 09-01313 | 01/05/2011 | Claimant(s): Christine Valenti, Robert Valenti, Thomas Garriton
Claimant Lawyers(s): George Brunelle
Respondent(s): Patrick Alfano, TAG Securities Corp.
Respondent Lawyers(s): Patrick M. Alfano
Arbitrator(s): Leona Beane, John J. Vesey, Dominick T. Scianandre
Hearing Site: New York, NY
| | |
