| 19-00152 | 08/26/2019 | Claimant(s): David Keator
Claimant Lawyers(s): Peter F Flynn
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Martin A. Edelstein
Hearing Site: Albany, NY
| | |
| 19-00399 | 07/11/2019 | Claimant(s): Lawrence King
Claimant Lawyers(s): Mark T Walsh
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): David R. Foley
Hearing Site: Albany, NY
| | |
| 18-00227 | 03/28/2019 | Claimant(s): Christine Schlosser
Claimant Lawyers(s): Kelly Pressler
Respondent(s): Dean Heinemann, Clayborne Group LLC
Respondent Lawyers(s): David R. Wise
Arbitrator(s): Kenneth R. Hotopp, Ira A. Auerbach, Michael Jaffe
Hearing Site: Albany, NY
|  | $250,000 |
| 17-02249 | 05/14/2018 | Claimant(s): Barbara Mittenberg
Claimant Lawyers(s): Barbara L Mittenberg
Respondent(s): Barbara Ginty
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Martin A. Edelstein
Hearing Site: Albany, NY
| | Expungement |
| 17-01129 | 02/05/2018 | Claimant(s): Leonard Valletta
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Pamela H. Roderick
Hearing Site: Albany, NY
| | |
| 17-01272 | 01/03/2018 | Claimant(s): David Appel, Gimme Shelter
Claimant Lawyers(s): David W. Appel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): David S. Billet, Timothy A Meigher, Martin A. Edelstein
Hearing Site: Albany, NY
| | Dismissed by Rule 12206 |
| 17-01758 | 11/30/2017 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kean Bouplon
Respondent Lawyers(s): Kean Lynn Bouplon
Arbitrator(s): Keely D. Parr
Hearing Site: Albany, NY
| | |
| 14-03853 | 11/15/2016 | Claimant(s): Joseph Ventura, William Tell Services
Claimant Lawyers(s): Wayne A. Smith
Respondent(s): Daniel Mccarty, Richard Pombo, Steven Mannato, Steven Yezzo
Respondent Lawyers(s): Laurie Styka Bloom, Matthew D. Wagoner
Arbitrator(s): Martin Jay Siegel, Timothy A Meigher, Katherine Levitan
Hearing Site: Albany, NY
| | |
| 16-00201 | 09/30/2016 | Claimant(s): Robert Gray
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Isreal Torres, John Riccardi, Meyers Associates, L.P.
Respondent Lawyers(s): David A. Schrader, Isreal Wilfredo Torres, John F. Riccardi
Arbitrator(s): Jill I. Gross
Hearing Site: Albany, NY
| | $300 |
| 13-00325 | 02/16/2016 | Claimant(s): David Silipigno
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Vincent C. Pangia, Ira A. Auerbach, Clifford C. Rohde
Hearing Site: Albany, NY
| | $593,540 |
