| 19-02748 | 04/27/2020 | Claimant(s): Michael Hearn
Claimant Lawyers(s): Michael Christopher Hearn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Richard D. Rosenbloom, Robert E. Anderson, Francis Xavior Daumen
Hearing Site: Syracuse, NY
| | |
| 15-00585 | 11/02/2017 | Claimant(s): Elizabeth Jachles
Claimant Lawyers(s): Jason J. Kane
Respondent(s): American Portfolios Financial Services
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Thomas E. Webb, Richard D. Rosenbloom, Krista Gottlieb
Hearing Site: Buffalo, NY
|  | $461,390 |
| 13-03740 | 05/19/2016 | Claimant(s): Thomas Krajewski
Claimant Lawyers(s): Howard Cohen
Respondent(s): Timothy Dembski, Walter Grenda, Mid Atlantic Capital Corporation
Respondent Lawyers(s): Eric Soehnlein, Erin N. Fischer, Joseph G. Makowski
Arbitrator(s): Thomas E. Webb, Richard D. Rosenbloom, Michael Edward Rourke
Hearing Site: Buffalo, NY
| | $0 |
| 14-01296 | 05/01/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph Baumgarten
Respondent(s): Michael Dickstein
Respondent Lawyers(s): Todd Gutfleisch
Arbitrator(s): James J. Brearton, Richard D. Rosenbloom, James Howard Pulver
Hearing Site: Syracuse, NY
| | |
| 11-04163 | 09/25/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Mark Manly
Respondent Lawyers(s): Mark E. Manly
Arbitrator(s): Richard D. Rosenbloom
Hearing Site: Buffalo, NY
| | |
| 06-04943 | 02/17/2010 | Claimant(s): Dann Neale, Kevin Cougle
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Richard D. Rosenbloom, Joan B. Alexander, Frederick N.C. Jerauld
Hearing Site: Buffalo, NY
| | |
| 07-00263 | 09/17/2007 | Claimant(s): Roslyn Maren
Claimant Lawyers(s): Joanne A. Schultz
Respondent(s): Moors & Cabot., Winslow, Evans & Crocker.
Respondent Lawyers(s): Peter F. Flynn, Robert N. Rapp
Arbitrator(s): Murray S. Marsh, Henry J. Beetz, Richard D. Rosenbloom
Hearing Site: Buffalo, NY
| | $0 |
