| 12-00601 | 01/16/2014 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): David G. Russell
Respondent(s): Ian Lowitt, Martin Courage, Mitchell Cox, Preston McSwain, Stephen Houston, Thomas Kalaris, Barclays Bank PLC
Respondent Lawyers(s): David G. Russell, Lisa G. Arrowood
Arbitrator(s): Christine Armstrong, Tom L. Peterson, Steven S. Manos
Hearing Site: Boston, MA
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| 13-00023 | 12/16/2013 | Claimant(s): Matthew Zick
Claimant Lawyers(s): Matthew James Zick
Respondent(s): Columbia Management Investment Distribut
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Tom L. Peterson
Hearing Site: Boston, MA
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| 13-01675 | 12/04/2013 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): James Valis
Respondent Lawyers(s): Sean Carnathan
Arbitrator(s): John A. Morin, Robert V. Deiana, James Alden Lincoln
Hearing Site: Boston, MA
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| 12-02477 | 11/27/2013 | Claimant(s): Michael Roy
Claimant Lawyers(s): Keith A. MacDonald
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jed L. Marcus
Arbitrator(s): John A. Goc, B. John Dill, David B. Beizer
Hearing Site: Boston, MA
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| 13-00144 | 11/22/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Thomas Hand
Respondent Lawyers(s): Thomas Alexander Hand
Arbitrator(s): Kevin J Mulrey, Jeffrey P. Petrucelly, Arthur Thomas Carr
Hearing Site: Boston, MA
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| 13-00739 | 11/14/2013 | Claimant(s): Michael Frawley
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): David M. Belcher
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
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| 12-03532 | 10/21/2013 | Claimant(s): Harley Kaplan
Claimant Lawyers(s): Mehmet Baysan
Respondent(s): Compass Securities Corporation
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Sandor I. Rabkin
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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| 13-01077 | 08/20/2013 | Claimant(s): Francis Mcgrail, Stuart Williams
Claimant Lawyers(s): T. Peter R. Pound
Respondent(s): Jane Barron
Respondent Lawyers(s): Peter Pease
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | Expungement |
| 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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