| 22-00504 | 10/17/2022 | Claimant(s): Chris Miller
Claimant Lawyers(s): Chris Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Kenneth Dymond
Hearing Site: Syracuse, NY
|  | $0 |
| 19-01455 | 04/06/2022 | Claimant(s): James Novak
Claimant Lawyers(s): Terry J. Kirwan
Respondent(s): Charles Schwab & Co.., Herbert Reilly, HFR Investment Advisory Services
Respondent Lawyers(s): David G. Burch, Kevin H. Lewis
Arbitrator(s): Patrick M. Markey, Denise L. Presley, Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
| 16-00361 | 12/11/2018 | Claimant(s): Versel Green
Claimant Lawyers(s): Versel Green
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Maryann Donahue-Yadon, Ralph L. Halpern, Kenneth Dymond
Hearing Site: Buffalo, NY
| | $0 |
| 18-00181 | 06/22/2018 | Claimant(s): Michael Conzone
Claimant Lawyers(s): Michael J Conzone
Respondent(s): Morgan Stanley, Joseph Corona
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
| 09-05466 | 12/14/2015 | Claimant(s): Michael Chrys
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Anthony Dinallo, Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): George F. Adams, Kenneth Dymond, John Carl Cirincion
Hearing Site: Albany, NY
| | |
| 12-01685 | 10/02/2014 | Claimant(s): Randi Winterman
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Gina Griffo, Joseph Lanzisera, Excel Securities & Associates.
Respondent Lawyers(s): Colleen M. Murphy, Joseph A. Lanzisera, Michael J. Crosnicker
Arbitrator(s): Kenneth Dymond, Peter Henner, L. Paul Kehoe
Hearing Site: Rochester, NY
| | Expungement |
| 12-03049 | 09/24/2014 | Claimant(s): Madeleine Perricone
Claimant Lawyers(s): Madeleine Perricone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Kenneth Dymond, Paul Smith Besson, Charles W. Danis
Hearing Site: Hartford, CT
| | Expungement |
| 12-02515 | 07/10/2014 | Claimant(s): Timothy McNamara
Claimant Lawyers(s): Nelson S. Torre
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michele A. Coffey
Arbitrator(s): Patrick M. Markey, Stephen P. LaLonde, Kenneth Dymond
Hearing Site: Buffalo, NY
| | |
| 12-03405 | 01/29/2014 | Claimant(s): Frank Racitano
Claimant Lawyers(s): Joanne A. Schultz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): A.J. Borrelli
Arbitrator(s): Kenneth Dymond
Hearing Site: Buffalo, NY
| | Expungement |
| 13-02162 | 01/02/2014 | Claimant(s): Marlin Salmon
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): NFP Securities.
Respondent Lawyers(s): Robin Corwin Campbell
Arbitrator(s): Kenneth Dymond
Hearing Site: Buffalo, NY
| | $300 |
