| 13-01124 | 02/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jason Buscaglia
Respondent Lawyers(s): Jason Robert Buscaglia
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
| | |
| 12-01577 | 08/06/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Darwin Campoverde
Respondent Lawyers(s): Darwin Douglas Campoverde
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
| | |
| 11-02354 | 07/16/2013 | Claimant(s): Andrew Garrett Inc.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Paula Moats
Respondent Lawyers(s): Paula Leuchs Moats
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
| | |
| 11-03603 | 07/15/2013 | Claimant(s): E1 Asset Management.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Charles Kleinbaum, Robert I. Adler, Jettie K. Thomas
Hearing Site: New York, NY
| | |
| 11-03960 | 07/15/2013 | Claimant(s): Marsha Sinzheimer
Claimant Lawyers(s): William Paul Nolan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Charles Kleinbaum, Michael H. DuBoff, Mae A. Brudner
Hearing Site: New York, NY
|  | Expungement |
| 12-00694 | 06/20/2013 | Claimant(s): Michael Harris
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg Garneau
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
| | $48,300 |
| 11-00411 | 07/27/2012 | Claimant(s): Eileen Warren
Claimant Lawyers(s): Ronald R. Levine
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Dennis Perry, Judith Bovitz, Victoria Miller
Respondent Lawyers(s): Yoonsun Chung
Arbitrator(s): Charles Kleinbaum, Catherine Ladnier, Stephen T. Rodriguez
Hearing Site: Albany, NY
| | Expungement |
| 10-05542 | 12/01/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Loretta M. Gastwirth
Respondent(s): Fred Johnson
Respondent Lawyers(s): Fred Johnson
Arbitrator(s): Charles Kleinbaum, Denise N. Seegobin, David A. Schwarz
Hearing Site: New York, NY
| | |
| 11-00610 | 09/29/2011 | Claimant(s): Jim McCormickand Fionnuala McCormick
Claimant Lawyers(s): Jim McCormick
Respondent(s): Harry Friedman
Respondent Lawyers(s): Brian H. Reis
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
| | $425 |
| 09-02964 | 06/14/2011 | Claimant(s): CITGO Petroleum Corporation, PDV Holding.
Claimant Lawyers(s): Anne C. Flannery
Respondent(s): Guillermo Clamens, FTC Capital Markets., FTC Emerging Markets., FTC Holdings
Respondent Lawyers(s): Guillermo David Clamens
Arbitrator(s): Charles Kleinbaum, Earl S. Schwarz, Richard W. Cutler
Hearing Site: New York, NY
| | $20,943,000 |
