| 14-01741 | 01/07/2016 | Claimant(s): Crosstown Plumbing Supply.
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Howard W. Hirschhorn, Edward W. Morris, Ronald J. Colombo
Hearing Site: Newark, NJ
|  | $346,881 |
| 12-03312 | 11/22/2013 | Claimant(s): Cynthia Shaw
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Polina M. Dostalik
Arbitrator(s): Richard W. Cutler, Sandra J. Mullings, David Serko
Hearing Site: New York, NY
| | $600 |
| 11-02832 | 04/25/2013 | Claimant(s): James Metzger
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Susan C. Lushing, Evonne W.J. Tolbert, Andrew M. Schmertz
Hearing Site: New York, NY
| | $0 |
| 11-02196 | 09/05/2012 | Claimant(s): Margaret Hill
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Howard D. Jacob, Alida D. Camp, Howard S. Quinn
Hearing Site: New York, NY
| | $1,471,190 |
| 10-05479 | 04/26/2012 | Claimant(s): Frank Criscola
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Daniel Robbins, Herman Taub, Howard Weitz
Hearing Site: New York, NY
| | $159,902 |
| 09-03793 | 06/30/2011 | Claimant(s): Julia A. Keenan, IRA, Stephen R. Keenan
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jerome M Shafer, Ira M. Ross, Howard Weitz
Hearing Site: New York, NY
| | Expungement |
| 09-04492 | 11/09/2010 | Claimant(s): Rita Klafter, Rita E. Klafter Individual Retirement A/, Stephen H. Klafter IRA
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Sanford C. Bernstein & Co,
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Jay F. Donnaruma, Elizabeth K. Norsworthy, John J. Henry
Hearing Site: Albany, NY
| | $0 |
| 08-01675 | 05/11/2009 | Claimant(s): Walter and Hanni L. Lion
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): David A. King
Arbitrator(s): Joan M. Traub, Farrell C. Glasser, Richard E. Castiglioni
Hearing Site: New York, NY
| | $0 |
| 08-00757 | 02/24/2009 | Claimant(s): Peter Bennett, Peter J. Bennett IRA
Claimant Lawyers(s): Keith L. Griffin, Steven B. Caruso
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Dale A. Kaliszeski, Donald Milo Helton, Alton B. Lewis
Hearing Site: New Orleans, LA
| | $0 |
| 07-01269 | 03/20/2008 | Claimant(s): Daniel Morris
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Jeff Margolis, Aurora Capital LLC
Respondent Lawyers(s): G. Robert Abrams, Jeff Eliot Margolis
Arbitrator(s): Richard L. Herzfeld, Evdokia Sofos, Jonathan P. Russell
Hearing Site: New York, NY
| | |
