| 16-00239 | 07/28/2016 | Claimant(s): Edward Jones
Claimant Lawyers(s): Jeffrey T. Kern
Respondent(s): Louis Schafer
Respondent Lawyers(s): Louis Albert Schafer
Arbitrator(s): Robert E. Anderson
Hearing Site: Syracuse, NY
| | |
| 15-02131 | 03/14/2016 | Claimant(s): June Madden
Claimant Lawyers(s): June D. Madden
Respondent(s): Jeffrey Sustarsic, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Ralph L. Halpern
Hearing Site: Syracuse, NY
|  | $14,306 |
| 13-01697 | 01/15/2016 | Claimant(s): Jean Marie Hart, Michael Hearn, Genesse Capital Advisors
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): David S. Billet, Patrick M. Markey, Peter A.P. Dunlop
Hearing Site: Syracuse, NY
| | |
| 13-03059 | 01/15/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Michael Hearn
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s):
Hearing Site: Syracuse, NY
| | |
| 13-03102 | 12/17/2015 | Claimant(s): Joan Anderson
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Karin A. Schlosser
Hearing Site: Syracuse, NY
| | Expungement |
| 13-03673 | 11/25/2015 | Claimant(s): Theresa Devereux
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradely B. Rounsaville
Arbitrator(s): Robert J. Kheel
Hearing Site: Syracuse, NY
| | Expungement |
| 14-03552 | 11/05/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Ralph Goodman
Respondent Lawyers(s): Ralph Ustin Goodman
Arbitrator(s): David R. Foley
Hearing Site: Syracuse, NY
| | |
| 13-01507 | 05/15/2015 | Claimant(s): Christine Tsionas, Dimitrios Zourdos, Helen Zourdos, John Zourdos, Christine Tsionas IRA, Dimitrios Zourdos IRA, Helen Zourdos IRA, John Zourdos IRA, Helen & John Zourdos JTWROS
Claimant Lawyers(s): Adolfo Anzola
Respondent(s): Pinnacle Investments, Ridgeway & Conger.
Respondent Lawyers(s): Andrew J. Lyons, Brian M. Oubre
Arbitrator(s): Stephen T. Rodriguez, Daniel M. Mankowski, Jennifer L. Bliss
Hearing Site: Syracuse, NY
| | $258,000 |
| 14-01296 | 05/01/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph Baumgarten
Respondent(s): Michael Dickstein
Respondent Lawyers(s): Todd Gutfleisch
Arbitrator(s): James J. Brearton, Richard D. Rosenbloom, James Howard Pulver
Hearing Site: Syracuse, NY
| | |
| 14-02154 | 04/01/2015 | Claimant(s): Thomas Crandall
Claimant Lawyers(s): Thomas D. Crandall
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Ralph L. Halpern
Hearing Site: Syracuse, NY
| | $0 |
