| 09-01246 | 12/18/2009 | Claimant(s): Joseph Ventura
Claimant Lawyers(s): Wayne A. Smith
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Loren Schechter
Arbitrator(s): Frank E. Wolf, Kenneth Dymond, Alan V. Iselin
Hearing Site: Albany, NY
| | |
| 08-03959 | 07/09/2009 | Claimant(s): Harold Delurey
Claimant Lawyers(s): Harold M. Delurey
Respondent(s): David Costa, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katherine M. McGrail
Arbitrator(s): Howard L. Sobel
Hearing Site: Albany, NY
|  | $0 |
| 08-00893 | 05/06/2009 | Claimant(s): Donald Burnham, Jr., Kelly Burnham
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bruce Cramer
Arbitrator(s): Marc R. Green, Brian J. Burstin, Kenneth Dymond
Hearing Site: Albany, NY
| | $0 |
| 08-00568 | 03/20/2009 | Claimant(s): The TTees of the Masonic Hall and Asylum
Claimant Lawyers(s): Brian J. Butler
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): Brian J. Burstin, Dale S. Cronnell, John Richard Lynch
Hearing Site: Albany, NY
| | $30,600,600 |
| 06-04422 | 02/24/2009 | Claimant(s): Dennis Mack
Claimant Lawyers(s): Richard L. Burstein
Respondent(s): George McAvoy, Matthew Smith, CP Capital Management, Cadaret, Grant & Co..
Respondent Lawyers(s): James Feathersonhaugh, Jeffrey A. Sellers
Arbitrator(s): David N. Brainin, Stuart M. Schwartz, Sheldon Dinowitz
Hearing Site: Albany, NY
| | |
| 06-04438 | 02/24/2009 | Claimant(s): George Mcavoy, Matthew Smith, CP Capital Management.
Claimant Lawyers(s): James Feathersonhaugh
Respondent(s): Dennis Mack, Capital Retirement Solutions
Respondent Lawyers(s): Richard L. Burstein
Arbitrator(s):
Hearing Site: Albany, NY
| | |
| 08-00087 | 01/21/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ken O'Connor
Respondent(s): Matthew McCabe
Respondent Lawyers(s): Matthew Robert McCabe
Arbitrator(s): J Lawrence Jones, C. Henry Lucas
Hearing Site: Albany, NY
| | |
| 06-04087 | 08/27/2008 | Claimant(s): Lynn Coyle, Bently Patners.
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): McLaughlin, Piven, Vogel Securities, Paul Marrone
Respondent Lawyers(s): Mark G. Vaughan
Arbitrator(s): Robert J. Allen, John G. Leaman, David J. Pollitzer
Hearing Site: Albany, NY
| | Stipulated Award and Expungement |
| 06-04125 | 11/27/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Mercadante
Respondent Lawyers(s): Michael Mercadante
Arbitrator(s): James J. Brearton, Roland M. Cavalier, Ruth A. Ihne
Hearing Site: Albany, NY
| | |
| 07-01436 | 09/20/2007 | Claimant(s): McGinn Smith & Co..
Claimant Lawyers(s): Joseph B. Carr
Respondent(s): Derek Paulsen, Seth Stone
Respondent Lawyers(s): Derek Douglas Paulsen, Seth Michael Stone
Arbitrator(s): Frank Irizarry
Hearing Site: Albany, NY
| | |
