| 19-00869 | 11/06/2019 | Claimant(s): Marc Wolff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Moors & Cabot.
Respondent Lawyers(s): David L. Ward
Arbitrator(s): James Mathieu
Hearing Site: Tampa, FL
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| 16-00597 | 07/13/2017 | Claimant(s): Francis Aiello
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Citizens Securities.
Respondent Lawyers(s): David L. Ward
Arbitrator(s): David M. Panko, Jay H. Feldstein, Miles David Braverman
Hearing Site: Pittsburgh, PA
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| 12-01966 | 07/25/2014 | Claimant(s): Wayne Johnson
Claimant Lawyers(s): Philip A. Tracy
Respondent(s): Daniel Joyce, Robert Morey, Vernon Gibson, Moors & Cabot.
Respondent Lawyers(s): David L. Ward
Arbitrator(s): John B. Kinsellagh, Michael L. Letendre, John J. Kenny
Hearing Site: Boston, MA
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| 11-04672 | 07/01/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Aaron Foley, Daniel Joyce, Joel Ravitz, Mark Minichiello, Moors & Cabot., Quincy Cass Associatesorporated
Respondent Lawyers(s): David L. Ward, Sylvia M. Scott, Timothy J. Perry
Arbitrator(s): Mary C. Kelleher, Stephen M. Acerra, Frank Sanclemente
Hearing Site: Boston, MA
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| 11-02335 | 06/28/2012 | Claimant(s): J.P. Morgan Securities LLC
Claimant Lawyers(s): Eugene L. Small
Respondent(s): Keith Melanson
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Nancy E. Watters, Arthur Thomas Carr
Hearing Site: Boston, MA
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| 10-05204 | 12/02/2011 | Claimant(s): Daniel Mody, Eric Krouse, Pinnacle Investments
Claimant Lawyers(s): David L. Ward
Respondent(s): Alan Barham, George Haskins, Louis Panigrosso, Rudolph Panigrosso
Respondent Lawyers(s): Charles O. Ingraham
Arbitrator(s): Frank C. Fogl, Madhu C. Trivedi, Robert J. Allen
Hearing Site: Syracuse, NY
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| 09-04960 | 10/18/2010 | Claimant(s): Marc Wolff, Wolff Investment Planning
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Moors & Cabot.
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Russell W. Merriman, Lawrence Zenville Rosenberg, Robert Knickerbocker
Hearing Site: Tampa, FL
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| 07-01736 | 01/05/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David L. Ward
Respondent(s): James Dowd, John McMahon, Morgan Stanley & Co., Mark Brown, Todd Walker
Respondent Lawyers(s): Michael L. Chinitz, Michael L. Rosen
Arbitrator(s): John R. Thompson, Sandor I. Rabkin, Thomas J. Horack
Hearing Site: Boston, MA
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| 07-01400 | 12/22/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Wachovia Securities, Jason Siegel
Respondent Lawyers(s): David L. Ward
Arbitrator(s): William J. Crowe, Gerry E. Feinberg, Aubrey Lees
Hearing Site: New York, NY
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| 09-00463 | 08/21/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Robert Cotter
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Peter M. Bizinkauskas
Hearing Site: Boston, MA
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