| 14-01879 | 09/14/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Angela A. Turiano
Respondent(s): Thomas Buckley
Respondent Lawyers(s): Thomas Buckley
Arbitrator(s): Mary L. Merkle, Madelyn A. Levy, Linda Ashley
Hearing Site: New York, NY
| | |
| 12-04119 | 01/06/2014 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): William Gourd
Respondent Lawyers(s): Daniel J. Dwyer
Arbitrator(s): Mary L. Merkle, Keely D. Parr, Robert Elliot Harrison
Hearing Site: New York, NY
| | |
| 10-03895 | 01/31/2012 | Claimant(s): Bonne Sparks-Mitchell, Darcie Simmons, Ellen Rogers, Joyce Butterworth-Engler, Mark Lewis, Shirley A. Kelce, Wiley L. Estes, Kimberly A. Glasgow&Shirley Kelce JTWROS, T.J. Kassouf and Mary Jo Kassouf, Charles E. Butterworth, Jr. Family Trust
Claimant Lawyers(s): Howard Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Mary L. Merkle, Peter H. Daly, Milton N. Gross
Hearing Site: Birmingham, AL
|  | $611,312 |
| 08-00319 | 07/06/2009 | Claimant(s): Christian Martin
Claimant Lawyers(s): Gregory Vidler
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Mark A. Nebrig
Arbitrator(s): Mary L. Merkle, Sandra J. Mullings, Richard Lee Mansdoerfer
Hearing Site: New York, NY
| | |
| 07-00476 | 04/29/2008 | Claimant(s): Est. of Thomas H. Piccarreto by Bentti
Claimant Lawyers(s): Douglas Moyal
Respondent(s): Great Eastern Securities.
Respondent Lawyers(s): Derick Johnson
Arbitrator(s): Pamela H. Roderick, Evonne W.J. Tolbert, Mary L. Merkle
Hearing Site: New York, NY
| | $55,686 |
| 04-04516 | 08/13/2007 | Claimant(s): Andrew Warshaw, Florence Rosenwein, George Whalen, Lorraine Whalen, Louis Rosenwein, Meredith Rosenwein, Sari Rosenwein, M. Rosenwein cust. Robert Rosenwein, Sari R. Rosenwein Cust Sydney Warshaw, Sari Rosenwein Cust. for Seth Warshaw, G. Whalen FBO Meredith Rosenwein, Lorraine Reich Whalen Trust, M. Rosenwein FBO M. Rosenwein, et al., M. Rosenwein TTEE FBO Jordan Rosenwein, M. Rosenwein TTEE FBO Robert Rosenwein
Claimant Lawyers(s): Mark M. Rottenberg
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): James Lico
Arbitrator(s): Louis H. Miron, Mary L. Merkle, Joel P. Mellis
Hearing Site: New York, NY
| | $0 |
