| 15-03347 | 01/23/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s): Jeffrey Gianelli
Respondent Lawyers(s): Jeffrey Joseph Gianelli
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
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| 16-00170 | 12/19/2016 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): David G. Russell
Respondent(s): Terence Mullany
Respondent Lawyers(s): Michael J. Giarrusso
Arbitrator(s): Arthur J. Giacomarra, Benjamin Willard Beck, Joseph Samuel Berman
Hearing Site: Boston, MA
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| 15-03037 | 12/09/2016 | Claimant(s): Silverwood Partners
Claimant Lawyers(s): Dana A. Zakarian
Respondent(s): Jonathan Hodson-Walker, Lisa Hodson-Walker, Michael Burgmaier, Nicolas Mccoy
Respondent Lawyers(s): Christopher F. Robertson, Dana A. Zakarian
Arbitrator(s): Gene M. Bauer, Sheryl R. Marshall, Joseph Samuel Berman
Hearing Site: Boston, MA
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| 16-01134 | 11/01/2016 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Kay Oskvig
Respondent(s): Russell Sadler
Respondent Lawyers(s): Russell Leo Sadler
Arbitrator(s): Frank Sanclemente
Hearing Site: Boston, MA
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| 15-01935 | 10/10/2016 | Claimant(s): Newport Coast Securities.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Matthew Barrett
Respondent Lawyers(s): Matthew William Barrett
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
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| 15-00685 | 09/30/2016 | Claimant(s): Robert Martin
Claimant Lawyers(s): Bruce M. Towner
Respondent(s): NYLife Distributors LLC, New York Life Investment Management LLC
Respondent Lawyers(s): Hillary J. Massey
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
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| 16-00164 | 09/27/2016 | Claimant(s): Timothy Davis
Claimant Lawyers(s): Deborah Gale Evans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Scott K. Shaw, Nickolas F. Monteforte, John Francis Markuns
Hearing Site: Boston, MA
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| 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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| 14-03648 | 05/13/2016 | Claimant(s): James Kenerson
Claimant Lawyers(s): Dan Druz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Evalyn Lipton Fishbein, Peter Andrew Marx, Jory E Berkwits
Hearing Site: Boston, MA
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| 15-03439 | 05/02/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Jeff Thompson
Respondent Lawyers(s): Jeff D Thompson
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
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