| 13-00130 | 09/03/2013 | Claimant(s): Norman Pinn
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Stifel, Nicolaus & Co.., Philip Smolowitz
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
|  | $3,311 |
| 12-03628 | 06/12/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Keith Dagostino
Respondent Lawyers(s): Keith Michael Dagostino
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
| | |
| 11-03258 | 03/13/2013 | Claimant(s): Dana Schiaffo
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Daniel Tucker, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Paul Weinberg, Doris B. Nathan, Marian Rachel Lewis
Hearing Site: New York, NY
| | Expungement |
| 12-01434 | 09/10/2012 | Claimant(s): David Gershon
Claimant Lawyers(s): Tammy Marzigliano
Respondent(s): M.M. Dillon & Co. LLC
Respondent Lawyers(s): Nancy E. Delaney
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
| | |
| 11-03428 | 08/27/2012 | Claimant(s): Arik Borohov
Claimant Lawyers(s): Todd A. Gabor
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
| | Expungement |
| 10-01554 | 12/14/2011 | Claimant(s): Robert Lipka
Claimant Lawyers(s): Howard S. Meyers
Respondent(s): Katherine Alcorn, Raymond James Financial Services.
Respondent Lawyers(s): David A. Gehn, Glenn A. Duhl
Arbitrator(s): Paul Weinberg, Bernard Korman, Adam M. Kauff
Hearing Site: New York, NY
| | |
| 09-06456 | 04/07/2011 | Claimant(s): Michael Skakun
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Scott Nuttall, Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner, Scott E Nuttall
Arbitrator(s): J. Martin McDonough, Paul Weinberg, Kathleen Cawley
Hearing Site: New York, NY
| | Expungement |
| 09-02258 | 12/17/2010 | Claimant(s): Nancy Butler, Estate of Thomas Warren Butler
Claimant Lawyers(s): K.O. Herston
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Rody P. Biggert, Paul Weinberg, Henry Kirke Cushing
Hearing Site: Nashville, TN
| | $48,181 |
| 09-02623 | 11/18/2010 | Claimant(s): Kevin Holloway, Shyamala Holloway
Claimant Lawyers(s): Kevin Holloway
Respondent(s): Kenneth Thom, Kevin Burr
Respondent Lawyers(s): Kenneth Thom, Kevin Richard Burr
Arbitrator(s): James J. Fishman, Kinchen C. Bizzell, Paul Weinberg
Hearing Site: New York, NY
| | $38,902 |
| 06-01063 | 07/10/2009 | Claimant(s): Louis Rosenwein, Meredith Rosenwein, TTEE f/b/o Robert
Claimant Lawyers(s): R. Jeffrey More
Respondent(s): Ralph Esposito, Janney Montgomery Scott LLC
Respondent Lawyers(s): Lionel G. Hest
Arbitrator(s): Orestes J. Mihaly, Paul Weinberg, James M Coakley
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
