| 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 |
| 10-05492 | 02/29/2012 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): David Mikula, Morgan Stanley
Respondent Lawyers(s): James L. Sonneborn, Phillip J. Campisi
Arbitrator(s): Suzanne E. Reynolds-Brady, Robert S. Getman, Michael A. Orticelle
Hearing Site: Albany, NY
| | |
| 10-05074 | 02/03/2012 | Claimant(s): Donn Philip Crane
Claimant Lawyers(s): Donn Philip Crane
Respondent(s): Jeramy Heath, Morgan Stanley
Respondent Lawyers(s): Kenneth J. Haim
Arbitrator(s): Jennifer L. Bliss
Hearing Site: Albany, NY
| | $0 |
| 09-04306 | 12/20/2011 | Claimant(s): Carl Kipper
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Elaine McChesney
Arbitrator(s): Jacqueline W. Marshall, William M Peters, Jennifer L. Bliss
Hearing Site: Albany, NY
| | |
| 10-03612 | 09/02/2011 | Claimant(s): Ronald Tranquillo
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Stephen T. Rodriguez, Suzanne E. Reynolds-Brady, Stuart M. Schwartz
Hearing Site: Albany, NY
| | $65,642 |
| 10-00882 | 06/24/2011 | Claimant(s): John Conarpe
Claimant Lawyers(s): Salvatore D. Ferlazzo
Respondent(s): Timothy Bartholomew, Essex National Securities.
Respondent Lawyers(s): Timothy A. Valliere
Arbitrator(s): Jeffrey G. Sommers, Alan K. Bloom, Lewis M. Smith
Hearing Site: Albany, NY
| | $0 |
| 10-05519 | 06/02/2011 | Claimant(s): Randolph Haaran
Claimant Lawyers(s): Randolph Haaran
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph K. Donovan
Arbitrator(s): Keely D. Parr
Hearing Site: Albany, NY
| | $0 |
| 09-05785 | 05/17/2011 | Claimant(s): Charles Stokes, Mary Stokes
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): George J. Marshall, Roland M. Cavalier, Cheryl H. Agris
Hearing Site: Albany, NY
| | Expungement |
| 09-06914 | 03/08/2011 | Claimant(s): Edwin Christensen
Claimant Lawyers(s): Richard D. De Vita
Respondent(s): Rocco Mongelli
Respondent Lawyers(s): Robert Bertsch
Arbitrator(s): John Richard Lynch
Hearing Site: Albany, NY
| | Stipulated Award |
| 10-00883 | 01/19/2011 | Claimant(s): John Bartolomeo
Claimant Lawyers(s): John Doar
Respondent(s): Christopher Fenton, M&T Securities.
Respondent Lawyers(s): Catherine Grantier Cooley
Arbitrator(s): Jeffrey E. Stockholm, Robert J. Allen, Edward W. Morris
Hearing Site: Albany, NY
| | $30,300 |
