| 16-01568 | 07/13/2017 | Claimant(s): Louis Falvo
Claimant Lawyers(s): Peter J. Glennon
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Michael P. Hennigan, Peter A.P. Dunlop, Paul Tichauer
Hearing Site: Buffalo, NY
| | |
| 13-01697 | 01/15/2016 | Claimant(s): Jean Marie Hart, Michael Hearn, Genesse Capital Advisors
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): David S. Billet, Patrick M. Markey, Peter A.P. Dunlop
Hearing Site: Syracuse, NY
| | |
| 12-02012 | 02/13/2015 | Claimant(s): Caroline Samuel Trust by Canadaigua Nati, Samuel Family Trust by Rebecca and Richa
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Christine Samuel, Richard Oaster, Ensemble Financial Services.
Respondent Lawyers(s): George D. Sullivan, James E. Metzler, Luigi Spadafora
Arbitrator(s): Daniel M. Mankowski, Peter A.P. Dunlop, Edmund Viele
Hearing Site: Syracuse, NY
|  | $1,200,000 |
| 11-03289 | 06/18/2012 | Claimant(s): Wall Street Financial Group.
Claimant Lawyers(s): Michael Schwartzberg
Respondent(s): Walter Grenda
Respondent Lawyers(s): Walter Grenda
Arbitrator(s): Peter A.P. Dunlop
Hearing Site: Buffalo, NY
| | |
| 10-03651 | 10/21/2011 | Claimant(s): David Middlemiss
Claimant Lawyers(s): Leigh A. Lieberman
Respondent(s): Garry Payne, LFA, LimitedLiability Company, Lincoln Financial Advisors Corporation, Lincoln Life&Annuity Company of New York
Respondent Lawyers(s): Brian J. Butler
Arbitrator(s): Frank C. Fogl, Stuart A. Ober, Peter A.P. Dunlop
Hearing Site: Syracuse, NY
| | |
| 10-05055 | 08/09/2011 | Claimant(s): Richard Skop and Lynne Skop
Claimant Lawyers(s): Jeffrey B. Kelvin
Respondent(s): Wells Fargo Advisors, Elaine Regan
Respondent Lawyers(s): Elaine Juliano Regan, Patricia E. Cowart
Arbitrator(s): Daniel M. Mankowski, Gust D. Servis, Peter A.P. Dunlop
Hearing Site: Buffalo, NY
| | $0 |
| 10-02791 | 06/29/2011 | Claimant(s): Eugene Colucci
Claimant Lawyers(s): Donald G. McGrath
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Jeffrey Mark Schwartz, Eugene M. Setel, Peter A.P. Dunlop
Hearing Site: Buffalo, NY
| | $0 |
| 09-00329 | 07/30/2010 | Claimant(s): Rohan Russell
Claimant Lawyers(s): Rohan Russell
Respondent(s): Northgate Securities.
Respondent Lawyers(s): Kenneth C. Courville
Arbitrator(s): David Buch, Jeffrey Mark Schwartz, Peter A.P. Dunlop
Hearing Site: Buffalo, NY
| | $81,500 |
