| 23-01612 | 11/07/2023 | Claimant(s): Adrienne Rowles
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Ameriprise Financial Services, Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff, Howard M. Klausmeier
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 23-01239 | 10/02/2023 | Claimant(s): DawnMarie Corneau
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 18-02410 | 01/25/2019 | Claimant(s): Andrew Zimmerman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 18-00947 | 12/20/2018 | Claimant(s): Jeffrey Swett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rafael E. Rosario
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 18-00178 | 12/07/2018 | Claimant(s): Mary Mullin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 17-03416 | 07/06/2018 | Claimant(s): Brian MacKinnon, Timothy MacKinnon
Claimant Lawyers(s): Kenneth E. Meister
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Michael P. Anciello, Susan E. Maloney, Patrick W. McKeon
Hearing Site: Boston, MA
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| 17-01983 | 03/29/2018 | Claimant(s): Regina Bernarduci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman, Jon D. Kaplon
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 13-02643 | 03/13/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Matthew Kane
Respondent Lawyers(s): Matthew Kane
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 12-00288 | 05/01/2013 | Claimant(s): Robert Fenyk
Claimant Lawyers(s): Norman E. Watts
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Ronald L. Cheney, Susan E. Maloney, Morton S. Bunis
Hearing Site: Boston, MA
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| 11-04150 | 09/19/2012 | Claimant(s): Frederick Blanchard
Claimant Lawyers(s): John T. Martin
Respondent(s): Bostonia Global Securities
Respondent Lawyers(s): Joseph P. Lombardo
Arbitrator(s): Chesley Oriel, Dennis M. Cronin, Susan E. Maloney
Hearing Site: Boston, MA
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