| 09-04602 | 01/21/2011 | Claimant(s): Konstantinac C. Panagios, Paul J. Panagios, Konstantina C. Panagios and Pauline Chil, Pauline Chilakis and Konstantina C. Pana
Claimant Lawyers(s): Paul J. Panagios
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 10-03356 | 01/20/2011 | Claimant(s): Anna Quindlen, Gerald Krovatin
Claimant Lawyers(s): Gerald Krovatin
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): David S. Paul
Hearing Site: New York, NY
| | $163 |
| 10-03140 | 01/18/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jason Latorre
Respondent Lawyers(s): Jason Frederick Latorre
Arbitrator(s): Michelle Jacobowitz Gallagher
Hearing Site: New York, NY
| | |
| 09-01769 | 01/14/2011 | Claimant(s): Joseph Quattrocchi, Dependable Auto Body., George Tropiano IRA, Victor N. Sotra IRA, Katherine Ruotolo and Gina Ruotolo, Victor H. Stora and Lucille Stora
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Allan Levine, Andrew Gonchar, Michael Schumacher, Polyvios Polyviou, Ronald Moschetta, Strasbourger Pearson Tulcin Wolff.
Respondent Lawyers(s): Karen B. Estis, Michael K. Coran, Peter M. Spett, Ronald Moschetta
Arbitrator(s): Richard W. Cutler, Edith M. Gunn, Jerome M Shafer
Hearing Site: New York, NY
| | $367,388 |
| 09-05937 | 01/07/2011 | Claimant(s): Heather Donahue
Claimant Lawyers(s): Howard I. Elman
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Carol M. Goodman
Arbitrator(s): Judith R. MacDonald, Dorothy F. Gray, Diane Getzler
Hearing Site: New York, NY
| | |
| 09-01067 | 01/06/2011 | Claimant(s): David Sacco
Claimant Lawyers(s): Jeffery L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Brian J. Burstin, Kevin B. Naughten, Robert Bartels
Hearing Site: New York, NY
| | |
| 09-00348 | 01/05/2011 | Claimant(s): Christine Valenti, Robert Valenti
Claimant Lawyers(s): George Brunelle
Respondent(s): Patrick Alfano, Thomas Garriton, Tag Securities Corp.
Respondent Lawyers(s): George Brunelle, Patrick Alfano
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 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
| | |
| 10-01471 | 01/04/2011 | Claimant(s): Jane Klotz
Claimant Lawyers(s): Nathan P. Pereira
Respondent(s): Michael Dawson, Mikiel Debary, Marquette De Bary Co.., Monarch Financial Corporation
Respondent Lawyers(s): Charles M. O'Rourke, Marquette de Bary, Michael F. Dawson, Mikiel de Bary
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 09-03007 | 12/31/2010 | Claimant(s): Mitchell Schley
Claimant Lawyers(s): Mitchell Schley
Respondent(s): Barbara Bishop, Bear Stearns & Co..
Respondent Lawyers(s): Lawrence R. Sandak
Arbitrator(s): Ernest Fanwick, Robert Pincus, Saul Scheier
Hearing Site: New York, NY
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