| 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
| | |
| 17-01567 | 10/19/2018 | Claimant(s): Audra Olsen
Claimant Lawyers(s): Benjamin J. Casilio
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Cora E. MacLean
Arbitrator(s): Joyce Diane Campbell Priveterre
Hearing Site: Rochester, NY
| | |
| 12-01685 | 10/02/2014 | Claimant(s): Randi Winterman
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Gina Griffo, Joseph Lanzisera, Excel Securities & Associates.
Respondent Lawyers(s): Colleen M. Murphy, Joseph A. Lanzisera, Michael J. Crosnicker
Arbitrator(s): Kenneth Dymond, Peter Henner, L. Paul Kehoe
Hearing Site: Rochester, NY
|  | Expungement |
| 09-01392 | 11/15/2011 | Claimant(s): Debra D' Antonio, Est. of Betty J. Miller by Debra D'Anton
Claimant Lawyers(s): John Benjamin Carroll
Respondent(s): Phillips Smith, Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): David Buch, Nino Armienti, Jennifer L. Bliss
Hearing Site: Rochester, NY
| | $0 |
| 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 |
| 09-02687 | 05/11/2010 | Claimant(s): Annette Smith, Donald Smith, Annette Smith IRA, Donald L. Smith Individual Retirement Ac, Donald L. Smith SEP
Claimant Lawyers(s): William A Jacobson
Respondent(s): Alan Cook, RBC Capital Markets Corporation
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): David L. Hoffberg
Hearing Site: Rochester, NY
| | $14,296 |
| 09-00382 | 03/15/2010 | Claimant(s): George Galajda, IRA
Claimant Lawyers(s): Steven Galajda
Respondent(s): Thomas Tette, 1st Global Capital Corp.
Respondent Lawyers(s): Marc J. Ross
Arbitrator(s): Christopher C. Willett, David L. Hoffberg, Ronald Ripstein
Hearing Site: Rochester, NY
| | $0 |
| 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 |
| 09-01130 | 01/15/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Carol Ramsdell, Wachovia Securities, Eugene Richardson, Justin Burdo, Marc Johnson
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): David Buch, Christopher C. Willett, Ronald Ripstein
Hearing Site: Rochester, NY
| | |
| 08-02854 | 12/31/2009 | Claimant(s): Ava Raphael, Bradley Raphael, Brian Raphael, Brooke Raphael, Irving Raphael
Claimant Lawyers(s): James L. Sonneborn
Respondent(s): Bruce Sears, Heather Hunt-Ruddy, Joseph O'Connor, RBC Dain Rauscher
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Vincent Micciche, Kathleen Hoey Gorr, Edmund Viele
Hearing Site: Rochester, NY
| | $50,000 |
