| 12-01802 | 08/07/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Robert White
Respondent Lawyers(s): John E. Sutherland
Arbitrator(s): B. John Dill, David J. Kaufman, Carol Di Natale
Hearing Site: Boston, MA
| | |
| 14-00831 | 07/27/2015 | Claimant(s): Brian Fitzgerald
Claimant Lawyers(s): Frank N. Gaeta
Respondent(s): Curian Capital, Curian Clearing
Respondent Lawyers(s): Barry Temkin
Arbitrator(s): Howard M. Miller, Arnold M. Marrow, Xiomara Corral
Hearing Site: Boston, MA
| | |
| 14-02496 | 06/23/2015 | Claimant(s): Cheri Jewison, Ameriprise Financial Services.
Claimant Lawyers(s): Susan E. Sheely
Respondent(s): Alan Horowitz
Respondent Lawyers(s): Alan Horowitz
Arbitrator(s): Tom L. Peterson, Evalyn Lipton Fishbein, Barbara-Ann Boehler
Hearing Site: Boston, MA
| | Expungement |
| 14-01380 | 06/05/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Tom L. Peterson
Hearing Site: Boston, MA
| | |
| 13-01897 | 05/29/2015 | Claimant(s): Leerink Swann LLC
Claimant Lawyers(s): Peter A. Brown
Respondent(s): Scott Price
Respondent Lawyers(s): Peter R. Pendergast
Arbitrator(s): John B. Kinsellagh
Hearing Site: Boston, MA
| | |
| 09-06725 | 04/16/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Allen Adams
Arbitrator(s): Mary C. Kelleher, Missy Daboul Margolis, Sharon L. Monroe
Hearing Site: Boston, MA
| | |
| 12-00889 | 03/13/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Roger Coe
Respondent Lawyers(s): Scot Schneiderman
Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Joseph C. Tully
Hearing Site: Boston, MA
| | |
| 14-03181 | 03/02/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Joseph Jayne
Respondent Lawyers(s): Joseph Jayne
Arbitrator(s): Mary C. Kelleher
Hearing Site: Boston, MA
| | |
| 13-03113 | 02/26/2015 | Claimant(s): Peter Cushing
Claimant Lawyers(s): Todd Zuckerbrod
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Ericka B. Gray, Nickolas F. Monteforte, Jennifer Goodreau Gonzalez
Hearing Site: Boston, MA
| | |
| 12-01038 | 02/09/2015 | Claimant(s): Mark Soukup
Claimant Lawyers(s): Richard M. Gelb
Respondent(s): Regina Bolvin, Bolvin Wealth Management Group.
Respondent Lawyers(s): William Bernarduci
Arbitrator(s): Sandor I. Rabkin, Michael L. Letendre, Susan Largay
Hearing Site: Boston, MA
| | |
