| 18-00504 | 06/07/2019 | Claimant(s): Robert Traenkle
Claimant Lawyers(s): Adam B. Oppenheim
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): David S. Paul, John F. Duane, James Bromley Bragg
Hearing Site: New York, NY
| | |
| 18-01710 | 11/27/2018 | Claimant(s): John Burke
Claimant Lawyers(s): Katherine B. Harrison
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 17-02152 | 10/17/2018 | Claimant(s): Antonia Barone
Claimant Lawyers(s): Joanne A Schultz
Respondent(s): James Haskins, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Michael A. Orticelle, Steven C. Kempisty, L. Paul Kehoe
Hearing Site: Buffalo, NY
|  | $0 |
| 16-00231 | 06/23/2016 | Claimant(s): Richard Messina, Benchmark-Pellinore.
Claimant Lawyers(s): Barry Lax
Respondent(s): Adam Gordon
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Roger J. Hawke, Walter Michael Mathews, William R. Serpe
Hearing Site: New York, NY
| | |
| 09-05466 | 12/14/2015 | Claimant(s): Michael Chrys
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Anthony Dinallo, Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): George F. Adams, Kenneth Dymond, John Carl Cirincion
Hearing Site: Albany, NY
| | |
| 13-00175 | 08/26/2014 | Claimant(s): William Thomas
Claimant Lawyers(s): Howard Rosenfield
Respondent(s): Patrick Clark, William Sheehan
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Sean Alan D'Amico, David D. Vetrane, Charles W. Danis
Hearing Site: Hartford, CT
| | Expungement |
| 11-03597 | 07/02/2013 | Claimant(s): Deborah Prentice
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Jennifer L. Bliss, Robert J. Allen, Rocco Michael Scanza
Hearing Site: Syracuse, NY
| | Expungement |
| 11-03258 | 03/13/2013 | Claimant(s): Dana Schiaffo
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Daniel Tucker, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Paul Weinberg, Doris B. Nathan, Marian Rachel Lewis
Hearing Site: New York, NY
| | Expungement |
| 08-04432 | 05/21/2010 | Claimant(s): Linda Manjarrez
Claimant Lawyers(s): Evans J. Carter
Respondent(s): Paul Hess, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): June Y. Kilmarx, Peter Svorinic, Jeffrey S. Troderman
Hearing Site: Boston, MA
| | $0 |
| 07-02897 | 05/23/2008 | Claimant(s): Wachovia Securities, A.G. Edwards & Sons.
Claimant Lawyers(s): Katherine B. Harrison
Respondent(s): Cathy McJilton, Stifel, Nicolaus & Co.., Denise Gilseth, Kelly Stomgren, Samuel Slayden
Respondent Lawyers(s): James A. Hughes, Kenneth C. Mennemeier
Arbitrator(s): Harry B. Endsley, Ralph A. Cotton, E. Duane Stephens
Hearing Site: San Francisco, CA
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