| 22-01674 | 07/26/2023 | Claimant(s): Carolyn Catlin, Stephen Wintermeier, Fenway Financial Advisors
Claimant Lawyers(s): David J. Freniere
Respondent(s): Ashleigh Swayze, Swayze LLC
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Mary E. Bassett, Linda Luke Lee, Marjorie Ann Butler
Hearing Site: Boston, MA
| | |
| 21-03039 | 06/02/2023 | Claimant(s): Benjamin Zimbel
Claimant Lawyers(s): Alan D. Rose
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
| | |
| 20-02093 | 04/18/2023 | Claimant(s): Jeremy Seidman, Jose Rodriguez-Villalobos, Mitchell Riesenberger, Simon Clarke
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David S. Pegno
Arbitrator(s): Michael A. Orticelle, John R. Snyder, Merriann Panarella
Hearing Site: Boston, MA
| | |
| 21-00961 | 04/04/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michelle M. Wezner
Respondent(s): Craig Lewis
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Lucy J. Karl, Gene M. Bauer, Paula M. Bagger
Hearing Site: Boston, MA
| | |
| 21-02760 | 02/10/2023 | Claimant(s): James Moniz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Signator Investors.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 19-03772 | 01/09/2023 | Claimant(s): Joshua Heapes
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Chad Troester, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher S. Koller
Arbitrator(s): Nelson P. Lovins, Denise L. Presley, Michael P. Breton
Hearing Site: Boston, MA
| | |
| 20-02678 | 07/22/2022 | Claimant(s): Brian Mulvey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
| | |
| 21-01469 | 07/11/2022 | Claimant(s): Adrienne Rowles
Claimant Lawyers(s): John E. Sutherland
Respondent(s): George Woerdeman
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): B. John Dill, Andrea J. Goldman, Christine R. Fitzgerald
Hearing Site: Boston, MA
| | |
| 21-02537 | 06/30/2022 | Claimant(s): Michael Muccio
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
| | |
| 21-02378 | 06/29/2022 | Claimant(s): Jonathan Lonske
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley DW Inc., UBS Financial Services Inc.
Respondent Lawyers(s): Abigail Elrod, Elisabeth Kratka, John Murphy
Arbitrator(s): Linda J. Baer
Hearing Site: Boston, MA
| | |
