| 13-03478 | 05/25/2016 | Claimant(s): Kimberly Welsh
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): B. J. Krintzman, Xiomara Corral, Thomas Matthew Madden
Hearing Site: Boston, MA
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| 13-00018 | 09/12/2013 | Claimant(s): Kevin Sullivan
Claimant Lawyers(s): Robert Nelson
Respondent(s): Douglas Evans, Stalwart Capital
Respondent Lawyers(s): Douglas Craig Evans
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
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| 08-03729 | 08/13/2013 | Claimant(s): Thomas Heller
Claimant Lawyers(s): Richard W. Kearney
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): B. J. Krintzman, Pamela E. Berman, John J. Kenny
Hearing Site: Boston, MA
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| 10-02178 | 05/21/2013 | Claimant(s): John Freund
Claimant Lawyers(s): Daniel S. Tarlow
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc., Morgan Stanley Smith Barney Holdings, LL
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): B. J. Krintzman, Norman Foxman, John J. Mager
Hearing Site: Boston, MA
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| 12-02540 | 11/16/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Zhe Li
Respondent Lawyers(s): Zhe Li
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
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| 10-01869 | 05/04/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Stephen Cote
Respondent Lawyers(s): Stephen M. Cote
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
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| 10-02394 | 06/22/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): David Matthews
Respondent Lawyers(s): David Dimuccio Matthews
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
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| 09-01276 | 05/25/2011 | Claimant(s): Vito Vitone
Claimant Lawyers(s): William M. Kolb
Respondent(s): Ian Gerrior, Kevin Beaulieu, Richard Beaulieu, Signator Investors.
Respondent Lawyers(s): Michael J. Murphy, Sara E. Sweeney, Sheri L Pizzi
Arbitrator(s): B. J. Krintzman, Laura M. Nelson, Paul A. Auerbach
Hearing Site: Providence, RI
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| 08-00912 | 10/27/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Michael McAllister
Respondent(s): Albert Lowenthal
Respondent Lawyers(s): Michael McAllister
Arbitrator(s): Kelly M. Lonergan, Sharon L. Monroe, B. J. Krintzman
Hearing Site: Boston, MA
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| 07-00898 | 04/24/2008 | Claimant(s): Matthew Ciaramella
Claimant Lawyers(s): Matthew J. Ciaramella
Respondent(s): Putnam Retail Management Ltd. Partners
Respondent Lawyers(s): Jason S. Pinney
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
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