| 18-00613 | 02/27/2020 | Claimant(s): Lyle LaMothe
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Mary Lou McGanney, Terrance J. Nolan, Michael J. Fleming
Hearing Site: New York, NY
|  | Dismissed by Rule 12206/12504 |
| 19-01408 | 12/05/2019 | Claimant(s): Joseph Cordi
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Tony Naccarelli
Arbitrator(s): Mary Lou McGanney
Hearing Site: New York, NY
| | |
| 17-01406 | 11/14/2019 | Claimant(s): Mark Sullivan, Richard Dellarusso
Claimant Lawyers(s): Robert R. Miller
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Stephen M. Kramarsky
Arbitrator(s): Mary Lou McGanney, Robert E. Anderson, Jay F. Frascella
Hearing Site: New York, NY
| | |
| 14-02310 | 10/16/2017 | Claimant(s): Kevin Gordon
Claimant Lawyers(s): Aegis J. Frumento
Respondent(s): Louis Scotto, BGC Financial, L.P.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Richard W. Vallario, Barbara J. Glenns, Mary Lou McGanney
Hearing Site: New York, NY
| | |
| 16-00911 | 08/23/2017 | Claimant(s): Stacy Marcus
Claimant Lawyers(s): Alexander H. Gardner
Respondent(s): Heron Financial Group LLC
Respondent Lawyers(s): Joseph Sullivan
Arbitrator(s): Howard L. Sobel, Mary Lou McGanney, Ronald Leven
Hearing Site: New York, NY
| | |
| 16-00282 | 05/16/2017 | Claimant(s): Howard Shapiro, Marcia Shapiro
Claimant Lawyers(s): David Edgar Bamberger
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stephen M. Gross, Mary Lou McGanney, William James Cortellessa
Hearing Site: New York, NY
| | Expungement |
| 15-01932 | 01/06/2017 | Claimant(s): Paulomi Agashiwala
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Giusti, Sergio Rosa
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Shelley Teitelbaum, Mary Lou McGanney, Susan Jane Harrigan
Hearing Site: New York, NY
| | Expungement |
| 14-03399 | 06/15/2015 | Claimant(s): Bradley Reifler
Claimant Lawyers(s): Gregory L. Smith
Respondent(s): Pali Capital.
Respondent Lawyers(s): Daniel J. Reiser
Arbitrator(s): Mary Lou McGanney
Hearing Site: New York, NY
| | |
| 13-03115 | 01/30/2015 | Claimant(s): Barry Mankowitz, Barry J. Mankowitz, M.D. IRA
Claimant Lawyers(s): Edward A. Paltzik
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Lynne M. Reid-McQueen, Mary Lou McGanney, Louis P. Wagman
Hearing Site: New York, NY
| | $202,961 |
| 12-03588 | 08/05/2014 | Claimant(s): Allyson Silverman, Glenn Edelman
Claimant Lawyers(s): August Iorio
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): A.J. Borelli, Christine A. Kendrick
Arbitrator(s): Madelon M. Rosenfeld, Mary Lou McGanney, Amy Jill Baranoff
Hearing Site: New York, NY
| | Expungement |
