| 19-03321 | 01/25/2021 | Claimant(s): John Holborn
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): David Shapiro, CNL Securities Corp., Cadaret, Grant & Co..
Respondent Lawyers(s): David G. Buffa, Jonathan E. Green
Arbitrator(s): Tracy L. Allen, Kathleen P. Helbig-Hannan, Gerald Grace
Hearing Site: Buffalo, NY
|  | Dismissed by Rule 12206 |
| 18-04026 | 03/31/2020 | Claimant(s): Howard Dubinett, Jacqueline Dubinett
Claimant Lawyers(s): Lars Soreide
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Louis H Miron, F. Peter Phillips, Jonathan Proman
Hearing Site: Newark, NJ
| | $0 |
| 12-02522 | 02/19/2014 | Claimant(s): Keith G. Berg, & Mary L Hedblom Liv fam
Claimant Lawyers(s): August M. Iorio
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | Expungement |
| 11-00681 | 04/26/2012 | Claimant(s): Beth Turkel
Claimant Lawyers(s): Richard De Vita
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | Expungement |
