| 13-00660 | 08/20/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Michael Turnyanszki
Respondent Lawyers(s): Michael J Turnyanszki
Arbitrator(s): Christine Moore, Moshe Cohen
Hearing Site: Albany, NY
| | |
| 09-06692 | 08/14/2013 | Claimant(s): Estate of Frederick J. Eickhoff
Claimant Lawyers(s): Harvey C. Shapiro
Respondent(s): Edward Jones
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Peter A. Goldman, Lewis M. Smith, George F. Adams
Hearing Site: Albany, NY
|  | $0 |
| 12-01057 | 04/30/2013 | Claimant(s): Mark Snyder
Claimant Lawyers(s): Harold F. McGuire
Respondent(s): Paul Daly, Samuel A. Ramirez & Co..
Respondent Lawyers(s): David A. Picon
Arbitrator(s): Robert Pincus, Robert J. Allen, Douglas A. Eldridge
Hearing Site: Albany, NY
| | Expungement |
| 11-03882 | 04/02/2013 | Claimant(s): John McNiven
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Stephen P. LaLonde
Hearing Site: Albany, NY
| | Expungement |
| 12-02062 | 02/27/2013 | Claimant(s): Beverly Lawson
Claimant Lawyers(s): Eric Lawson
Respondent(s): Erna McReynolds, Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Albany, NY
| | $0 |
| 12-02206 | 12/14/2012 | Claimant(s): Morgan Stanley, Robert Lynch
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Edward Swyer
Respondent Lawyers(s): Luke Nikas
Arbitrator(s): Jacqueline W. Marshall, Jennifer L. Bliss
Hearing Site: Albany, NY
| | Expungement |
| 11-02771 | 12/05/2012 | Claimant(s): Matthew Ryan
Claimant Lawyers(s): Matthew Ryan
Respondent(s): Edward Zaik, AXA Advisors
Respondent Lawyers(s): Hector D. Geribon, Jessica Levine
Arbitrator(s): Robert Pincus, Timothy A Meigher, Clifford C. Rohde
Hearing Site: Albany, NY
| | $0 |
| 11-00411 | 07/27/2012 | Claimant(s): Eileen Warren
Claimant Lawyers(s): Ronald R. Levine
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Dennis Perry, Judith Bovitz, Victoria Miller
Respondent Lawyers(s): Yoonsun Chung
Arbitrator(s): Charles Kleinbaum, Catherine Ladnier, Stephen T. Rodriguez
Hearing Site: Albany, NY
| | Expungement |
| 10-04361 | 05/25/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Holdings, LL
Claimant Lawyers(s): Joe Gehring
Respondent(s): Wells Fargo Advisors, Douglas Carnahan, Lawrence King, Sandra Butler
Respondent Lawyers(s): James E. Heavey, Joe Gehring, Scott C. Paton
Arbitrator(s): Edward Baer, Roland M. Cavalier, Michael A. Orticelle
Hearing Site: Albany, NY
| | |
| 11-02630 | 03/22/2012 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Michelle Young
Respondent(s): Kimberly Herkert and John Herkert, Jr.
Respondent Lawyers(s): Kimberly Herkert
Arbitrator(s): John Richard Lynch
Hearing Site: Albany, NY
| | $0 |
