| 17-02323 | 03/15/2019 | Claimant(s): Frank Wong
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Dan Brecher, Domitilia M. dos Santos, Simone A. Muscarnera
Hearing Site: New York, NY
| | |
| 15-00937 | 05/03/2017 | Claimant(s): Cor Clearing LLC
Claimant Lawyers(s): Lawrence Ecoff
Respondent(s): Oppenheimerfunds Distributor.
Respondent Lawyers(s): Michael S. Doluisio
Arbitrator(s): Daniel B. Berkson, Domitilia M. dos Santos, Donald Raymond McNally
Hearing Site: New York, NY
| | |
| 14-03110 | 05/05/2016 | Claimant(s): Kevin Logan
Claimant Lawyers(s): Kevin Logan
Respondent(s): HSBC Brokerage (USA) Inc.
Respondent Lawyers(s): John E. Kiley
Arbitrator(s): Arnold Wagner, Domitilia M. dos Santos, James M. Rhodes
Hearing Site: New York, NY
| | |
| 10-04344 | 07/20/2011 | Claimant(s): Legends Bank
Claimant Lawyers(s): John M Edgar
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas K. Potter, III
Arbitrator(s): Monica I. Salis, Beverly S. Gordon, Domitilia M. dos Santos
Hearing Site: Nashville, TN
|  | Stipulated Award and Expungement |
| 10-00548 | 07/14/2011 | Claimant(s): Joan Martin
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stuart G. Brooks
Arbitrator(s): Robert J. Kheel, Domitilia M. dos Santos, John J. Vesey
Hearing Site: New York, NY
| | $0 |
| 09-02030 | 11/12/2010 | Claimant(s): Sam and Martha Massey
Claimant Lawyers(s): H. Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Janet Stern Solomon, Domitilia M. dos Santos, Joseph D. Vu
Hearing Site: Memphis, TN
| | $0 |
| 08-02792 | 08/11/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Bruce Gropper, Morton Gropper
Respondent Lawyers(s): Bradford M. Gucciardo
Arbitrator(s): Domitilia M. dos Santos, Antonio Concepcion, John Murray Carroll
Hearing Site: New York, NY
| | |
