| 17-00930 | 10/19/2017 | Claimant(s): Ginji Wang
Claimant Lawyers(s): Grant M. Lally
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Francis Carling
Hearing Site: New York, NY
|  | $0 |
| 14-02310 | 10/16/2017 | Claimant(s): Kevin Gordon
Claimant Lawyers(s): Aegis J. Frumento
Respondent(s): Louis Scotto, BGC Financial, L.P.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Richard W. Vallario, Barbara J. Glenns, Mary Lou McGanney
Hearing Site: New York, NY
| | |
| 16-03586 | 10/16/2017 | Claimant(s): Samuel Brezel, IRA
Claimant Lawyers(s): Samuel Brezel
Respondent(s): Morgan Stanley, Kenneth Olsen
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Leah R. Marks
Hearing Site: New York, NY
| | $0 |
| 16-01059 | 10/13/2017 | Claimant(s): Charles Sabbio and Ann Sabbio
Claimant Lawyers(s): Anthony Varbero
Respondent(s): David Lerner Associates., Robert Cavanagh
Respondent Lawyers(s): Ruthann Granito
Arbitrator(s): Sandra J. Mullings, Cheryl Feldman, Elisse R. Stern
Hearing Site: New York, NY
| | $205,497 |
| 17-00762 | 10/10/2017 | Claimant(s): Lance Verderosa
Claimant Lawyers(s): Lance Verderosa
Respondent(s): Salomon Whitney Financial
Respondent Lawyers(s): Ian J. Frimet
Arbitrator(s): John Michael Richardson
Hearing Site: New York, NY
| | $163 |
| 16-02160 | 09/26/2017 | Claimant(s): Linda Kaplan
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Brooks White, Patricia Kathleen Costello, Elliot Schnapp
Hearing Site: New York, NY
| | Expungement |
| 16-02257 | 09/22/2017 | Claimant(s): Karen Fogel, Ronald Fogel
Claimant Lawyers(s): Adam Gana
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Leslie Ruth Nydick
Hearing Site: New York, NY
| | Expungement |
| 16-01995 | 09/12/2017 | Claimant(s): Francois Perron
Claimant Lawyers(s): Francois Perron
Respondent(s): William Nelson
Respondent Lawyers(s): William David Nelson
Arbitrator(s): Steven A. Infante, William A. Rome, Mary P. Bass
Hearing Site: New York, NY
| | $5,000 |
| 17-00704 | 09/08/2017 | Claimant(s): Peter R. Caccippio Revocable Living Tr
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Wallace Anthony Showman
Hearing Site: New York, NY
| | $50,600 |
| 16-03244 | 09/07/2017 | Claimant(s): Craig Ferrantino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons., Citigroup Global Markets., Next Financial Group.
Respondent Lawyers(s): Angela A. Turiano, David I. Hantman, John T. Unger
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | |
