| 15-01109 | 06/23/2016 | Claimant(s): Kimberly O'Rourke
Claimant Lawyers(s): Kimberly O'Rourke
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael J. Fortunato
Arbitrator(s): Erica Bunin, Paul S. Biederman, Denise L. Quarles
Hearing Site: New York, NY
| | |
| 14-01826 | 10/23/2015 | Claimant(s): Allan Levine
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Biagio A. Civale, Paul S. Biederman, Joseph I. Liebman
Hearing Site: New York, NY
|  | Expungement |
| 11-02883 | 09/16/2014 | Claimant(s): Sarah Yarmak
Claimant Lawyers(s): Jeffrey Yarmak
Respondent(s): Neville Golvala, Ronald Buckner, Choicetrade, Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet, Patrick Gaffney
Arbitrator(s): Alida D. Camp, Robert Bartels, Paul S. Biederman
Hearing Site: New York, NY
| | $0 |
| 11-04239 | 08/22/2013 | Claimant(s): Susan Moses, William Fand, Susan Moses IRA
Claimant Lawyers(s): Anthony James Eccleston
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Lauren R. Fox
Arbitrator(s): Harold I. Geringer, Paul S. Biederman, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 11-01914 | 01/04/2013 | Claimant(s): Gregory Torretta
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Marguerite B. Filson, Paul S. Biederman, Joel Morton Newman
Hearing Site: New York, NY
| | |
| 12-01176 | 10/15/2012 | Claimant(s): James Schwantner
Claimant Lawyers(s): James Phillip Schwantner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Paul S. Biederman
Hearing Site: New York, NY
| | |
| 10-02897 | 06/29/2012 | Claimant(s): Gerald Grossman
Claimant Lawyers(s): Loretta Gastwirth
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Kinchen C. Bizzell, William E. Nuckel, Paul S. Biederman
Hearing Site: New York, NY
| | $0 |
| 09-06242 | 02/24/2012 | Claimant(s): Susan O'Rourke
Claimant Lawyers(s): Andrea M. Paparella
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Paul S. Biederman, Walter M. Schackman, Joshua Mark Zucker
Hearing Site: New York, NY
| | |
| 10-01290 | 03/02/2011 | Claimant(s): Vincent Cipollaro
Claimant Lawyers(s): Michael M. Steinmetz
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Alfred H. Kingon, Paul S. Biederman, Arthur M. Schoenberger
Hearing Site: New York, NY
| | $0 |
| 09-01030 | 12/16/2009 | Claimant(s): Dean Hart
Claimant Lawyers(s): Dean E. Hart
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Sheila E. Carson
Arbitrator(s): Paul S. Biederman
Hearing Site: New York, NY
| | $5,000 |
