| 09-03430 | 04/15/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Patrick Murray
Respondent Lawyers(s): W. Patrick Murray
Arbitrator(s): Jeffrey M. Bain, Truman M. Hogan, Frank C. Fogl
Hearing Site: Cleveland, OH
| | |
| 09-01992 | 03/14/2011 | Claimant(s): Carl Mielnicki, Donald Knicley, Frederick Krause, Thomas Leo
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Frank C. Fogl, Jeffrey Mark Schwartz, Ralph L. Halpern
Hearing Site: Rochester, NY
|  | $0 |
| 09-01561 | 08/12/2010 | Claimant(s): James Tekavec
Claimant Lawyers(s): Neil D. Petkovic
Respondent(s): Frank Cunnane
Respondent Lawyers(s): Robert N. Rapp
Arbitrator(s): Frank C. Fogl, Harold Dean Tolbert, Ralph A. Beard
Hearing Site: Cleveland, OH
| | |
| 09-06192 | 04/19/2010 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Noah D. Sorkin
Respondent(s): Mario Camillo
Respondent Lawyers(s): Mario J. Camillo
Arbitrator(s): Frank C. Fogl
Hearing Site: Buffalo, NY
| | |
| 09-01655 | 03/12/2010 | Claimant(s): David Driesen
Claimant Lawyers(s): David M. Driesen
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Frank C. Fogl
Hearing Site: Rochester, NY
| | $7,664 |
| 09-05047 | 03/12/2010 | Claimant(s): Brandy Rowan
Claimant Lawyers(s): Brandy Rowan
Respondent(s): Royal Alliance Associates., Mark Steckler, Caruso McLean & Co.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Frank C. Fogl
Hearing Site: Syracuse, NY
| | $2,748 |
| 08-01785 | 12/23/2008 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Kenneth Cusse
Respondent Lawyers(s): Kenneth L. Cusse
Arbitrator(s): Frank C. Fogl, David L. Hoffberg, Catherine Grantier Cooley
Hearing Site: Buffalo, NY
| | |
| 07-03203 | 05/15/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Jonathan Moebus
Respondent Lawyers(s): Celia A. Barlow
Arbitrator(s): Frank C. Fogl
Hearing Site: Pittsburgh, PA
| | $0 |
| 05-05548 | 10/23/2007 | Claimant(s): Lewis Zipkin
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): Ernest Mishne, Oppenheimer & Co..
Respondent Lawyers(s): Todd A. Broski
Arbitrator(s): Frank C. Fogl, Terrence Patrick McHugh, I. Bernard Trombetta
Hearing Site: Cleveland, OH
| | Stipulated Award and Expungement |
