| 17-02036 | 03/27/2018 | Claimant(s): Patrick Tierney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 17-02763 | 03/27/2018 | Claimant(s): John Macielag
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 17-02672 | 03/15/2018 | Claimant(s): Beth Murray
Claimant Lawyers(s): William Preston Martin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
| | |
| 15-01481 | 01/31/2018 | Claimant(s): Eunice Becker
Claimant Lawyers(s): Frank R. Schirripa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stuart Daniels
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Ruthann Granito, Sidney N. Weiss, Robert E. Anderson
Hearing Site: New York, NY
|  | Expungement |
| 17-01215 | 01/19/2018 | Claimant(s): Mark Kaschenbach
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 17-00397 | 11/27/2017 | Claimant(s): Kent Habecker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 15-01027 | 11/22/2017 | Claimant(s): Madeline Garramone
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Glenn King, Royal Alliance Associates.
Respondent Lawyers(s): Glenn R. King, Steven E. Mellen
Arbitrator(s): Robert E. Anderson, Robert T. Costello, Jay Alan Kranis
Hearing Site: Newark, NJ
| | $200,300 |
| 17-00934 | 11/17/2017 | Claimant(s): Joseph Mahoney
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian Betz
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 15-03141 | 11/15/2017 | Claimant(s): Ann Genovesi, Joseph Genovesi, CUST FPO Joseph Genovesi Jr. IRRA
Claimant Lawyers(s): Jeffrey Barclay
Respondent(s): Matthew Schulman, Vandham Securities Corp.
Respondent Lawyers(s): Douglas V. Sanchez, Matthew P. Schulman
Arbitrator(s): Richard D. Chusid, Robert E. Anderson, Lawrence H. Teich
Hearing Site: Newark, NJ
| | $0 |
| 16-02566 | 10/13/2017 | Claimant(s): Scott Kudrick
Claimant Lawyers(s): Richard Slavin
Respondent(s): Realty Capital Securities
Respondent Lawyers(s): Michael Shuckerow
Arbitrator(s): Sharon L. Monroe, Robert E. Anderson, Frank E. Wolf
Hearing Site: Manchester, NH
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