| 11-00140 | 08/28/2012 | Claimant(s): Donald Adkins
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Michael E. Olney, Gary W. Sherbell, Walter Michael Mathews
Hearing Site: New York, NY
| | |
| 11-02581 | 02/24/2012 | Claimant(s): Ignazio Baiamonte, Ignazio Baiamonte IRA, Baiamonte Family 2008 Irrevocable Trust
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Edward Scro, James Gaul, Jeffrey Rachlin, Alternative Wealth Strategies.
Respondent Lawyers(s): Edward Francis Scro, James C. Gaul, James Carl Gaul, Jeffrey Rachlin
Arbitrator(s): Martin Jay Siegel, Joseph A. Forgione, Gary W. Sherbell
Hearing Site: New York, NY
|  | $901,750 |
| 02-07501 | 10/19/2011 | Claimant(s): Peter Green
Claimant Lawyers(s): Peter Green
Respondent(s): Cadaret Grant & Co..
Respondent Lawyers(s): Chaim J. Jaffe
Arbitrator(s): Joseph J. Arata, John B. Myers, Gary W. Sherbell
Hearing Site: New York, NY
| | |
| 10-03241 | 06/24/2011 | Claimant(s): Carole Liotti
Claimant Lawyers(s): Benedict L. Sliney
Respondent(s): Brian Mandart, Morgan Wilshire Securities., Woodstock Financial Group.
Respondent Lawyers(s): Bari Handwerger, Brian Mandart, Michael Finnan
Arbitrator(s): Gary W. Sherbell, John J. Duval, Denise N. Seegobin
Hearing Site: New York, NY
| | $39,580 |
| 09-03493 | 01/25/2011 | Claimant(s): Amy Dunn, Brian Langille, Christian Miller, Ricardo Zulliger, Tanya Lincevski, Vincent Bilello, Vincent Faust
Claimant Lawyers(s): James M. Griffin
Respondent(s): Dresdner Kleinwort Securities LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): Gary W. Sherbell, Edwin H. Nordlinger, Kyle Maldiner
Hearing Site: New York, NY
| | |
| 04-05847 | 11/21/2007 | Claimant(s): Gus Kyrkostas and Julie Kyrkostas
Claimant Lawyers(s): Richard M. Roth
Respondent(s): Harry Kroft, Harvey Permutt, UBS Financial Services Inc., Morgan Stanley DW Inc., Richard Jenkin, Stratis Zaferiou, Theo Zaferiou
Respondent Lawyers(s): Marianne Yen, Noah Weissman
Arbitrator(s): Christal J. Henner, Gary W. Sherbell, Cynthia A. DiMarco
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
