| 08-03500 | 05/03/2011 | Claimant(s): Joseph Bardzilowski
Claimant Lawyers(s): Thomas H. Chiacchio
Respondent(s): Wachovia Securities, Francis Buckley, Harry Sze, Lawrence Parsons
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Cynthia H. Plishtin, John R. Buehler, Alan Shaw
Hearing Site: Newark, NJ
| | |
| 09-05559 | 05/26/2010 | Claimant(s): Mark Segreto
Claimant Lawyers(s): David B. Jarashow
Respondent(s): Matthew Sexton, Marquis Financial Services.
Respondent Lawyers(s): Martin P. Unger, Matthew M Sexton
Arbitrator(s): Alan Shaw
Hearing Site: Newark, NJ
|  | $0 |
| 08-00849 | 08/18/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Michael Caprioni
Respondent Lawyers(s): Michael Caprioni
Arbitrator(s): James M. Baumann, Alan Shaw, Joseph Christopher Rosa
Hearing Site: Newark, NJ
| | |
| 08-00086 | 06/30/2009 | Claimant(s): Peter Ramos and Karen Ramos
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Genworth Financial Securities Corporatio
Respondent Lawyers(s): Richard D. De Vita
Arbitrator(s): Alan Shaw, Philip Rachmelowitz, Stephen L. Lister
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-03753 | 05/06/2008 | Claimant(s): Richard B., and Lucy A. Barnes
Claimant Lawyers(s): Devanshu L. Modi
Respondent(s): Summit Equities.
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Cynthia H. Plishtin, Alan Shaw, Richard V. Adams
Hearing Site: New York, NY
| | $0 |
| 02-03848 | 02/05/2008 | Claimant(s): Chaim Levin
Claimant Lawyers(s): Jeffrey Liddle
Respondent(s): GFI Securities, GFINET Inc., Inter-Dealer Brokers, Jersey Partners.
Respondent Lawyers(s): Barry Asen
Arbitrator(s): Louis H. Miron, John A. Astorina, Alan Shaw
Hearing Site: New York, NY
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