| 20-02036 | 12/07/2020 | Claimant(s): Francis Clement
Claimant Lawyers(s): Francis James Clement
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Kathleen Hoey Gorr, Corinne A. Cox, Clifford C. Rohde
Hearing Site: Rochester, NY
| | |
| 18-01194 | 11/15/2018 | Claimant(s): Kevin Gildner, Shawn Derrick, Commonwealth Financial Network
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Jeffry M. Bauer, Michael P. Hennigan, Clifford C. Rohde
Hearing Site: Buffalo, NY
| | |
| 13-00325 | 02/16/2016 | Claimant(s): David Silipigno
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Vincent C. Pangia, Ira A. Auerbach, Clifford C. Rohde
Hearing Site: Albany, NY
|  | $593,540 |
| 14-00765 | 05/19/2015 | Claimant(s): New York State Professional Fire Fighter
Claimant Lawyers(s): Joseph M . Dougherty
Respondent(s): Wells Fargo Advisors, Lawrence Natale, Patrick Lane, Tracy Martuscello
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Catherine Ladnier, Frank E. Wolf, Clifford C. Rohde
Hearing Site: Albany, NY
| | Expungement |
| 11-02771 | 12/05/2012 | Claimant(s): Matthew Ryan
Claimant Lawyers(s): Matthew Ryan
Respondent(s): Edward Zaik, AXA Advisors
Respondent Lawyers(s): Hector D. Geribon, Jessica Levine
Arbitrator(s): Robert Pincus, Timothy A Meigher, Clifford C. Rohde
Hearing Site: Albany, NY
| | $0 |
