| 20-04111 | 07/07/2021 | Claimant(s): Jason Kurchner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Stephanie Palimino
Arbitrator(s): Kathleen Hoey Gorr
Hearing Site: Albany, NY
| | |
| 20-02036 | 12/07/2020 | Claimant(s): Francis Clement
Claimant Lawyers(s): Francis James Clement
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Kathleen Hoey Gorr, Corinne A. Cox, Clifford C. Rohde
Hearing Site: Rochester, NY
| | |
| 19-03687 | 06/02/2020 | Claimant(s): Monica Chioffi
Claimant Lawyers(s): Monica C. Chioffi
Respondent(s): Oppenheimer & Co.., Steven Gordon
Respondent Lawyers(s): John T. McGuire, Steven A. Gordon
Arbitrator(s): Kathleen Hoey Gorr
Hearing Site: Hartford, CT
|  | $1,275 |
| 17-00379 | 10/04/2017 | Claimant(s): David Hartmann
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): James Schwartz, Steven Luftschein
Respondent Lawyers(s): Steven Robert Luftschein
Arbitrator(s): Kathleen Hoey Gorr
Hearing Site: Hartford, CT
| | $0 |
| 13-02129 | 09/02/2016 | Claimant(s): Carol Skop, John Skop
Claimant Lawyers(s): Howard B. Cohen
Respondent(s): Russell Grosjean, Timothy Dembski
Respondent Lawyers(s): Eric Soehnlein, Russell James Grosjean
Arbitrator(s): F. Harris Nichols, Kathleen Hoey Gorr, Andrea Bailey
Hearing Site: Buffalo, NY
| | Expungement |
| 15-01221 | 12/17/2015 | Claimant(s): Catseye Pest Control .
Claimant Lawyers(s): Anthony S. Maney
Respondent(s): Halliday Financial
Respondent Lawyers(s): George Brunelle
Arbitrator(s): Kathleen Hoey Gorr
Hearing Site: Albany, NY
| | $0 |
| 11-03222 | 01/18/2013 | Claimant(s): John Wassenaar
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): CF Global Trading
Respondent Lawyers(s): Lainie E. Cohen
Arbitrator(s): Kathleen Hoey Gorr, Katherine Levitan, Francis Xavior Daumen
Hearing Site: Buffalo, NY
| | |
| 11-04637 | 11/15/2012 | Claimant(s): Edwin Utter
Claimant Lawyers(s): William A Jacobson
Respondent(s): Mark Casolo
Respondent Lawyers(s): Mark Carmen Casolo
Arbitrator(s): Kathleen Hoey Gorr
Hearing Site: Syracuse, NY
| | $41,225 |
| 09-00351 | 06/17/2010 | Claimant(s): Cheryl Katz
Claimant Lawyers(s): Mark T. Starkman
Respondent(s): Oppenheimer & Co.., Stanley Wong, Commerce Capital Markets
Respondent Lawyers(s): Diana Sur, James A. McGovern, Michael S. Zullo
Arbitrator(s): James Pasquale Nunciato, Kathleen Hoey Gorr, Ruth A. Ihne
Hearing Site: Albany, NY
| | $0 |
| 08-02854 | 12/31/2009 | Claimant(s): Ava Raphael, Bradley Raphael, Brian Raphael, Brooke Raphael, Irving Raphael
Claimant Lawyers(s): James L. Sonneborn
Respondent(s): Bruce Sears, Heather Hunt-Ruddy, Joseph O'Connor, RBC Dain Rauscher
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Vincent Micciche, Kathleen Hoey Gorr, Edmund Viele
Hearing Site: Rochester, NY
| | $50,000 |
