| 16-01492 | 07/14/2017 | Claimant(s): Barbara Blethen, Christopher Wallace, Gerard Gawel, Marie Wallace
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Philip Fatta, Blackbook Capital, Legend Securities.
Respondent Lawyers(s): Franklin Ogele, Philip Orezio Fatta, Salvatore Caruso
Arbitrator(s): Daniel Robbins, Dolores D. Balsamo, Harrison Johnson
Hearing Site: New York, NY
|  | $584,796 |
| 16-03452 | 07/13/2017 | Claimant(s): Kenneth Carter
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jonathan A. Scobie
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 16-01890 | 07/12/2017 | Claimant(s): Jan Alpert
Claimant Lawyers(s): Jan Alpert
Respondent(s): Wells Fargo Advisors, Jeffrey Thiele
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Bernard A. Kesselman, Anna Lascar, Mitchell Regenbogen
Hearing Site: New York, NY
| | Expungement |
| 16-01824 | 07/11/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Robert Perconte
Respondent Lawyers(s): Robert A. Perconte
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | |
| 12-04083 | 07/11/2017 | Claimant(s): Denise Hoffman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Gary Zwetchkenbaum, Gilford Securities Incorporated
Respondent Lawyers(s): David S. Richan, Eric J. Sussman
Arbitrator(s): Richard W. Vallario, Irwin Kahn, Anna Lascar
Hearing Site: New York, NY
| | $206,783 |
| 15-03115 | 07/11/2017 | Claimant(s): Petersen Investments.
Claimant Lawyers(s): Steven E. Mellen
Respondent(s): Earle Roberts
Respondent Lawyers(s): Rupert V. Barry
Arbitrator(s): Sandra J. Mullings, Paul S. Biederman, Eila Matt
Hearing Site: New York, NY
| | $0 |
| 16-01806 | 07/10/2017 | Claimant(s): Timothy McLaughlin
Claimant Lawyers(s): Gene L. Small
Respondent(s): Diane Hawkins, Jonathan Zucker, Stephen Perrone, Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Franklin P. Chapman, Cynthia A. DiMarco, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $1,791,840 |
| 13-03605 | 07/07/2017 | Claimant(s): Gregory Cohen
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Baris Dincer, Daniel Mendoza, Francine Lanaia, Joseph Amato, RBC Capital Markets LLC, Alexander Capital, L.P.
Respondent Lawyers(s): Baris Dincer, Daniel Manuel Mendoza, Francine Ann Lanaia, Frank J. Cuccio, Scott Holcomb
Arbitrator(s): William E. Nuckel, Christine Moore, Mary Julia O'Connell
Hearing Site: New York, NY
| | $0 |
| 17-00796 | 07/05/2017 | Claimant(s): Karen Kurrasch
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vallono
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 16-01553 | 07/03/2017 | Claimant(s): Matthew Gittins
Claimant Lawyers(s): Jack A. Gordon
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Amy Y. Moy
Hearing Site: New York, NY
| | |
