| 11-00198 | 03/28/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): John Labarca
Respondent Lawyers(s): John J. Labarca
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 11-00948 | 02/08/2012 | Claimant(s): Robert Vaudry
Claimant Lawyers(s): Robert Vaudry
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Robert Pincus, Jettie K. Thomas, Joan Seewald Brodsky
Hearing Site: New York, NY
|  | $0 |
| 10-00927 | 12/02/2011 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James E. Siegel
Respondent(s): Mourad Jridi
Respondent Lawyers(s): Reynaldo G. Geerken
Arbitrator(s): Robert Pincus, Douglas F. Stone, Martin H. Zern
Hearing Site: New York, NY
| | |
| 10-01485 | 07/08/2011 | Claimant(s): The Estate of Seymour Niesen by Co-Execu
Claimant Lawyers(s): Adam M. Green
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | $0 |
| 11-00645 | 06/09/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Andrew G Gioia
Respondent(s): John Burke
Respondent Lawyers(s): John E. Burke
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 10-03054 | 05/23/2011 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Jonathan Valk
Respondent Lawyers(s): Steven M. Frederick
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 10-03927 | 02/03/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey F. Manzella
Respondent(s): Michael Gill
Respondent Lawyers(s): Michael James Gill
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 09-03007 | 12/31/2010 | Claimant(s): Mitchell Schley
Claimant Lawyers(s): Mitchell Schley
Respondent(s): Barbara Bishop, Bear Stearns & Co..
Respondent Lawyers(s): Lawrence R. Sandak
Arbitrator(s): Ernest Fanwick, Robert Pincus, Saul Scheier
Hearing Site: New York, NY
| | |
| 10-01324 | 07/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Elison Elliott
Respondent Lawyers(s): Elison Joseph Elliott
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 09-00003 | 03/10/2010 | Claimant(s): Colette McDonald
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): Daniel Devaney, Samuel A. Ramirez & Company.
Respondent Lawyers(s): Meredith Jowers Lees
Arbitrator(s): Robert Pincus, Robert I. Adler, Roy L. Weiss
Hearing Site: New York, NY
| | $53,000 |
