| 06-05199 | 01/18/2008 | Claimant(s): David Maurice, Lois Carrier
Claimant Lawyers(s): Jeffrey B. Kelvin
Respondent(s): LPL fka Linsco/Private Ledger Corp.
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Joan Stearns Johnsen, John A. Morin, B. John Dill
Hearing Site: Boston, MA
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| 07-00009 | 11/26/2007 | Claimant(s): Eric Gauster
Claimant Lawyers(s): Eric Robert Gauster
Respondent(s): Citigroup Global Markets., Martin Parquette, Michael Parker
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): June Y. Kilmarx, Edward Joseph Boudreau, Joseph Charles Kennedy
Hearing Site: Boston, MA
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| 07-01734 | 11/21/2007 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Gregg Iezza
Respondent Lawyers(s): Gregg Thomas Iezza
Arbitrator(s): Laura M. Nelson
Hearing Site: Boston, MA
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| 05-01488 | 10/26/2007 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Anthony DeMarco
Respondent Lawyers(s): Grover S. Parnell
Arbitrator(s): Sandor I. Rabkin, Allan E. Johnson
Hearing Site: Boston, MA
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| 06-05292 | 10/18/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kennth O'Connor
Respondent(s): Eric Nelson
Respondent Lawyers(s): Eric A. Nelson
Arbitrator(s): John F. Poole, Thomas L. Kennedy, John Manning Herr
Hearing Site: Boston, MA
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| 06-01929 | 10/10/2007 | Claimant(s): William Spina
Claimant Lawyers(s): William Joseph Spina
Respondent(s): Jerome Spina, Teton Partners
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): Joseph A. Cichon, Deborah B. Haskell, Maura Lenore Tomaszewski
Hearing Site: Boston, MA
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| 06-00871 | 09/28/2007 | Claimant(s): Peter Martin
Claimant Lawyers(s): Richard W. Kearney
Respondent(s): Columbia Funds Distributors., Columbia Management Group.
Respondent Lawyers(s): Mark W. Batten
Arbitrator(s): Maurice J. Skoler, Margaret Crouse Skelly, Lee McHarg Holland
Hearing Site: Boston, MA
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| 06-04609 | 09/25/2007 | Claimant(s): Mary Ann White
Claimant Lawyers(s): Patricia A. Washienko
Respondent(s): Peter Fader, Urchin Capital Partners
Respondent Lawyers(s): James S. Rollins
Arbitrator(s): Tom L. Peterson, John F. Poole, Melinda S. Milberg
Hearing Site: Boston, MA
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| 07-01622 | 09/20/2007 | Claimant(s): IFMG Securities., IFS AGencies., Independent Financial Marketing Group
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Michael Woodman
Respondent Lawyers(s): Gary C. Crossen
Arbitrator(s): Charles A. Goglia, Robert V. Deiana, Laura M. Nelson
Hearing Site: Boston, MA
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| 06-03902 | 08/14/2007 | Claimant(s): Nordo Nissi
Claimant Lawyers(s): Thomas J. Gleason
Respondent(s): Prudential Equity Group, Michael and Debra Kaufman
Respondent Lawyers(s): Alan S. Brodherson, Michael Kaufman
Arbitrator(s): Sylvia E. Green
Hearing Site: Boston, MA
| | Expungement |
