| 22-02754 | 08/15/2023 | Claimant(s): James Moran
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Capitol Securities Management.
Respondent Lawyers(s): David J. Freniere, Laura A. Pizzitola
Arbitrator(s): Veronica Ann Williams
Hearing Site: Jersey City, NJ
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| 23-00661 | 07/31/2023 | Claimant(s): Elizabeth Ferreri
Claimant Lawyers(s): Ronald A. Zamansky
Respondent(s): John Hancock Investment Management Distr
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): B. John Dill
Hearing Site: Boston, MA
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| 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
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| 21-00487 | 03/31/2023 | Claimant(s): Christopher Watkins, Douglas Obradovich
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Barry Goldman, Jeffrey M. Bain, Joseph Patrick Cottingham
Hearing Site: Louisville, KY
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| 21-02798 | 06/17/2022 | Claimant(s): William Harrison
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): John Hancock Distributors LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
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| 19-00395 | 10/21/2020 | Claimant(s): Brian Kennedy, Vincent Catalano
Claimant Lawyers(s): David J. Freniere
Respondent(s): John Dimonda, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): John J. Jordan, Louis P. Wagman, Stephen Samuel Werner
Hearing Site: Philadelphia, PA
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| 17-01071 | 10/11/2017 | Claimant(s): Gregory McDonough
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Ronald L. Cheney, Stephen M. Acerra, Sandor I. Rabkin
Hearing Site: Boston, MA
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| 15-03027 | 03/21/2017 | Claimant(s): Joseph Conlan
Claimant Lawyers(s): David Summer
Respondent(s): Louisa Quarto, Stephen Rokoszewski, William Dwyer
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
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| 14-00538 | 12/18/2015 | Claimant(s): Barnett Chepenik, Jason Chepenik
Claimant Lawyers(s): David J. Freniere
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Janene M. Marasciullo
Arbitrator(s): Bernard Hornick, Stuart K. Furman, Denise Morris Hammond
Hearing Site: Orlando, FL
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| 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
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