| 09-06134 | 12/15/2010 | Claimant(s): Kenneth McKenna
Claimant Lawyers(s): Joseph A. Granich
Respondent(s): Mark Casolo, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Mark Carmen Casolo
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Albany, NY
|  | $25,500 |
| 10-02947 | 11/10/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Mark Hatton
Respondent Lawyers(s): Mark Douglas Hatton
Arbitrator(s): David I. Goldblatt
Hearing Site: Albany, NY
| | |
| 09-04492 | 11/09/2010 | Claimant(s): Rita Klafter, Rita E. Klafter Individual Retirement A/, Stephen H. Klafter IRA
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Sanford C. Bernstein & Co,
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Jay F. Donnaruma, Elizabeth K. Norsworthy, John J. Henry
Hearing Site: Albany, NY
| | $0 |
| 09-05638 | 10/05/2010 | Claimant(s): Peter Baltis
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): George Danes, Morgan Stanley
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Orestes J. Mihaly, Jennifer L. Bliss, John J. Henry
Hearing Site: Albany, NY
| | $0 |
| 08-01356 | 07/21/2010 | Claimant(s): Dorene Dorn
Claimant Lawyers(s): Dorene K. Dorn
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): John Richard Lynch, Kenneth Dymond, Brian F. Mumford
Hearing Site: Albany, NY
| | |
| 09-06893 | 07/16/2010 | Claimant(s): Esemco Corporation, Steve N. Mitchell IRA, Steve N. Mitchell Roth IRA
Claimant Lawyers(s): Steve N. Mitchell
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sean R. Murphy
Arbitrator(s): Carolyn A. Mann
Hearing Site: Albany, NY
| | $425 |
| 09-00351 | 06/17/2010 | Claimant(s): Cheryl Katz
Claimant Lawyers(s): Mark T. Starkman
Respondent(s): Oppenheimer & Co.., Stanley Wong, Commerce Capital Markets
Respondent Lawyers(s): Diana Sur, James A. McGovern, Michael S. Zullo
Arbitrator(s): James Pasquale Nunciato, Kathleen Hoey Gorr, Ruth A. Ihne
Hearing Site: Albany, NY
| | $0 |
| 09-06602 | 06/15/2010 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Frank Polsinello
Respondent Lawyers(s): Frank Joseph Polsinello
Arbitrator(s): Jack Friedman
Hearing Site: Albany, NY
| | |
| 08-04631 | 04/06/2010 | Claimant(s): Joseph Allegretta and Suzanne Allegretta, JAT Construction Co.. Def Bene PP
Claimant Lawyers(s): Christine Sgarlata Chung
Respondent(s): Mark Casolo, McGinn, Smith & Co.., Westrock Advisors.
Respondent Lawyers(s): Christopher R. Travis, Thomas D. Buchanan
Arbitrator(s): Stuart M. Schwartz, Sheldon Dinowitz, Ronald J. Vero
Hearing Site: Albany, NY
| | $1,923,670 |
| 08-04273 | 03/25/2010 | Claimant(s): Helen Schabot
Claimant Lawyers(s): Richard L. Burstein
Respondent(s): Anne Whelan, Wachovia Securities
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Jay F. Donnaruma, William G. Binckes, Kenneth Dymond
Hearing Site: Albany, NY
| | Stipulated Award and Expungement |
