| 13-03120 | 06/22/2015 | Claimant(s): Article 2-B U/W Frank J Gatto Trust, Article 2-A U/W Frank J Gatto Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Howard D. Jacob, Sam Antar, Howard A. Baker
Hearing Site: New York, NY
|  | Expungement |
| 13-03666 | 05/20/2015 | Claimant(s): Vincent Albanese, Albanese Battery Place, VMA Realty I Partners LLC, VMA Realty II Partners LLC, VMA/NA Realty, The Niki and Vincent M. Albanese 2012 Gr
Claimant Lawyers(s): Mario Aieta
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): James J. Fishman, Michael Jaffe, Fei K. Tsum
Hearing Site: New York, NY
| | $158,000 |
| 13-02319 | 02/17/2015 | Claimant(s): Doreen Torre, Doreen Torre Trust
Claimant Lawyers(s): Doreen Torre
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Thomas R. Carlsen, Ellen I. Siegman, Wendi Blake
Hearing Site: Tampa, FL
| | $0 |
| 14-00819 | 10/31/2014 | Claimant(s): Barbara Gusie, Carl Gusie
Claimant Lawyers(s): Rasheed Karim Allen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Dempsey
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
| | $0 |
| 13-02618 | 10/15/2014 | Claimant(s): Ofelia Casillas IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-01669 | 01/24/2014 | Claimant(s): Charles Frank
Claimant Lawyers(s): Charles W. Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Christine L. Stetson
Hearing Site: Houston, TX
| | Expungement |
| 13-02100 | 01/17/2014 | Claimant(s): Philippe Rousseaux
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): MetLife Securities Inc.
Respondent Lawyers(s): Sheila Murphy
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
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