| 15-00294 | 09/30/2016 | Claimant(s): Alba Pfeffer
Claimant Lawyers(s): Alba T. Pfeffer
Respondent(s): Andre Mirkine, Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Peter A. Goldman, Leona Beane, Tracey Scott Bernstein
Hearing Site: New York, NY
|  | $0 |
| 15-01397 | 09/01/2016 | Claimant(s): Dianne Delfino
Claimant Lawyers(s): Bruce E. Menken
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Leona Beane, Josian Antoine, Jay Alan Kranis
Hearing Site: New York, NY
| | |
| 10-05704 | 11/03/2015 | Claimant(s): Rajyalakshmi Ramachandran, Viswanathan Ramachandran
Claimant Lawyers(s): Viswanathan Ramachandran
Respondent(s): Judy Wee, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kiki L. Taylor
Arbitrator(s): James M. Baumann, Christine Costigan, Leona Beane
Hearing Site: New York, NY
| | $0 |
| 14-00501 | 09/05/2014 | Claimant(s): Ian Cole
Claimant Lawyers(s): Ian Cole
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Jay Marc Israel
Arbitrator(s): Catherine Ladnier, Leona Beane, Edward W. Morris
Hearing Site: New York, NY
| | |
| 11-01891 | 08/07/2012 | Claimant(s): Deephaven Distressed Opportunities, Deephaven Event Trading, Ltd, MA Deep Event
Claimant Lawyers(s): Don Abraham
Respondent(s): Imperial Capital
Respondent Lawyers(s): Jeffrey R. Wang
Arbitrator(s): Stuart Rothenstein, Leona Beane, Nancy Kramer
Hearing Site: New York, NY
| | $0 |
| 09-02090 | 07/12/2012 | Claimant(s): John Simmons, Scott Carle
Claimant Lawyers(s): Brian G. Isaacson
Respondent(s): Wachovia Securities, Gail Brown, Morgan Keegan & Company., Randy Ross
Respondent Lawyers(s): David A. Picon, Matthew B. Baum, Wayne Hillis
Arbitrator(s): Brian Seth Orol, Leona Beane, Karen E. Sapp
Hearing Site: Raleigh, NC
| | $0 |
| 11-01034 | 02/08/2012 | Claimant(s): John Thomas Financial
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Salvatore Gioe
Respondent Lawyers(s): Salvatore Gioe
Arbitrator(s): Ivan W. Harper, Leona Beane, Joan Seewald Brodsky
Hearing Site: New York, NY
| | |
| 10-02949 | 09/13/2011 | Claimant(s): Eugene Russo, Mary Cammarano
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael Zaretsky
Arbitrator(s): Leona Beane, Harold Glenn Stafford, David J. Weisenfeld
Hearing Site: New York, NY
| | Expungement |
| 09-01313 | 01/05/2011 | Claimant(s): Christine Valenti, Robert Valenti, Thomas Garriton
Claimant Lawyers(s): George Brunelle
Respondent(s): Patrick Alfano, TAG Securities Corp.
Respondent Lawyers(s): Patrick M. Alfano
Arbitrator(s): Leona Beane, John J. Vesey, Dominick T. Scianandre
Hearing Site: New York, NY
| | |
| 09-04937 | 12/06/2010 | Claimant(s): Ken Yokel, Robert B. Yokel Charitable Lead Trust, Yokel Charitable Lead Annuity Trust
Claimant Lawyers(s): Hayward Richard Pressman
Respondent(s): David Shelton
Respondent Lawyers(s): David Stanley Shelton
Arbitrator(s): Leona Beane, James D. Muir, Stephen Martin Friedberg
Hearing Site: New York, NY
| | $601,665 |
