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 |
12-02012 | 02/13/2015 | Claimant(s): Caroline Samuel Trust by Canadaigua Nati, Samuel Family Trust by Rebecca and Richa Claimant Lawyers(s): Robert J. Pearl Respondent(s): Christine Samuel, Richard Oaster, Ensemble Financial Services. Respondent Lawyers(s): George D. Sullivan, James E. Metzler, Luigi Spadafora Arbitrator(s): Daniel M. Mankowski, Peter A.P. Dunlop, Edmund Viele Hearing Site: Syracuse, NY
| | $1,200,000 |
14-00455 | 12/05/2014 | Claimant(s): Michael Petrocci, Palema Petrocci Claimant Lawyers(s): John Benjamin Carroll Respondent(s): Wells Fargo Advisors, Clive Buchan, Raymond Patraw Respondent Lawyers(s): William S. Port Arbitrator(s): Stuart M. Schwartz Hearing Site: Syracuse, NY
| | $866 |
13-00131 | 11/27/2013 | Claimant(s): Carlos Moroz Claimant Lawyers(s): Nicole Marlow-Jones Respondent(s): Daryl Devillier, Raymond, James & Associates., Vincent Petrangelo Respondent Lawyers(s): Kelli Hartsook Arbitrator(s): Stuart M. Schwartz Hearing Site: Syracuse, NY
| | $39,803 |
12-01106 | 08/13/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan S. Brodherson Respondent(s): David Ayres Respondent Lawyers(s): Timothy J. O'Connor Arbitrator(s): Howard B. Cohen, Rocco Michael Scanza, Francis Xavior Daumen Hearing Site: Syracuse, NY
| | |
11-03597 | 07/02/2013 | Claimant(s): Deborah Prentice Claimant Lawyers(s): Debra G. Speyer Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Katherine B. Harrison Arbitrator(s): Jennifer L. Bliss, Robert J. Allen, Rocco Michael Scanza Hearing Site: Syracuse, NY
| | Expungement |
11-02573 | 04/03/2013 | Claimant(s): Leslie Goldberg Claimant Lawyers(s): Steven E. Cole Respondent(s): Alan Singer, Wells Fargo Advisors Respondent Lawyers(s): Angela A. Turiano Arbitrator(s): Richard A. Scalfani, Stuart M. Schwartz, Ralph L. Halpern Hearing Site: Syracuse, NY
| | Expungement |
11-04796 | 02/26/2013 | Claimant(s): Edwin Grimm Claimant Lawyers(s): Birgitta K. Siegel Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Kenneth Dymond Hearing Site: Syracuse, NY
| | Expungement |
12-02561 | 01/22/2013 | Claimant(s): Paul Weisser Claimant Lawyers(s): Paul Alan Weisser Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Felde Hoffman Arbitrator(s): Jennifer L. Bliss Hearing Site: Syracuse, NY
| | $0 |
11-04637 | 11/15/2012 | Claimant(s): Edwin Utter Claimant Lawyers(s): William A Jacobson Respondent(s): Mark Casolo Respondent Lawyers(s): Mark Carmen Casolo Arbitrator(s): Kathleen Hoey Gorr Hearing Site: Syracuse, NY
| | $41,225 |