| 23-03050 | 05/06/2024 | Claimant(s): Gary Glockzin
Claimant Lawyers(s): Zachary S. Knoblock
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Jonathan L. French
Arbitrator(s): Charles G. Michaels, Mary Margaret Bush, Howard N. Gorney
Hearing Site: San Diego, CA
| | |
| 23-02937 | 03/25/2024 | Claimant(s): Candida Bobonis Roig, Dario Ochoa Garcia, Franco Fullana, Lizzette Bobonis Roig
Claimant Lawyers(s): David I. Hantman
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara L. Velez Santiago
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 23-00815 | 09/29/2023 | Claimant(s): Nathan Macdonald
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Samuel H. Chorches, Howard N. Gorney, John Francis Markuns
Hearing Site: Augusta, ME
| | |
| 22-00892 | 04/13/2023 | Claimant(s): Joseph Crespi
Claimant Lawyers(s): Michael Bessette
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Howard N. Gorney
Hearing Site: Providence, RI
| | |
| 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
| | |
| 21-02945 | 06/17/2022 | Claimant(s): Eric Rosenberg
Claimant Lawyers(s): Eric A. Bensky
Respondent(s): GW & Wade Asset Management Company
Respondent Lawyers(s): Matthew G. Valentine
Arbitrator(s): Gerard S. Marsan, Howard N. Gorney, John R. Snyder
Hearing Site: Boston, MA
| | |
| 21-00461 | 11/11/2021 | Claimant(s): Lloyd Glazer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 20-02149 | 03/04/2021 | Claimant(s): Jeremy Benoit
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): John Hancock Mutual Life Insurance Co.
Respondent Lawyers(s): William A. Gottlieb
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 20-02330 | 03/04/2021 | Claimant(s): Richard Cella
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Arthur J. Giacomarra, Sharon L. Monroe, Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 20-01820 | 01/29/2021 | Claimant(s): Douglas Padden
Claimant Lawyers(s): Stephan Louviere
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
