| 19-01192 | 12/21/2021 | Claimant(s): Ionia Bedrosian, Shari Turnbull
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Diana Ceylan, Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
|  | Expungement |
| 21-02087 | 10/01/2021 | Claimant(s): Ronald Giancristofaro
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | |
| 20-02657 | 02/18/2021 | Claimant(s): Everett Weinberger, William Giordano
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | |
| 20-01215 | 12/16/2020 | Claimant(s): Michael Schwartz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | |
| 19-02958 | 05/26/2020 | Claimant(s): Chuck Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M. J. Whitman.
Respondent Lawyers(s): Michael Carney
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | |
| 19-01454 | 01/02/2020 | Claimant(s): Todd Silaika
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sara K. Yates
Arbitrator(s): Alice E. Winkler
Hearing Site: Albany, NY
| | |
| 15-03492 | 05/13/2019 | Claimant(s): Dolores Soccodato
Claimant Lawyers(s): Brad S. Maistrow
Respondent(s): Mark Ketner, Maxim Group LLC
Respondent Lawyers(s): Ian H. Hummel
Arbitrator(s): Julian F. Santos, Alice E. Winkler, Susan Manca
Hearing Site: New York, NY
| | $226,356 |
| 16-03163 | 01/19/2018 | Claimant(s): Eileen Hrzich, James Hrzich
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Alice E. Winkler, Annamaria Boccia Smith, John Michael Richardson
Hearing Site: New York, NY
| | $0 |
| 15-02128 | 11/23/2016 | Claimant(s): Kristin Ng
Claimant Lawyers(s): Brittany Weiner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | |
| 16-00614 | 10/24/2016 | Claimant(s): Greg Mastronardi
Claimant Lawyers(s): Richard T. Hunter
Respondent(s): Brian Nydegger, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | Expungement |
