08-03523 | 01/22/2010 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Jordan D. Becker Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Chrys Respondent Lawyers(s): Jeffrey J. Calabrese, Louis M. Lagalante Arbitrator(s): Jay F. Donnaruma, Stuart M. Schwartz, Ruth A. Ihne Hearing Site: Albany, NY
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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
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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
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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
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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
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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
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