| 18-01800 | 01/02/2019 | Claimant(s): John Corbett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
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| 16-03065 | 10/10/2018 | Claimant(s): Brian Chilton
Claimant Lawyers(s): Robert Miller
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): J. William Cook
Arbitrator(s): Richard J. Grahn, Howard N. Gorney, Jeffrey Neil Fink
Hearing Site: Boston, MA
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| 17-01539 | 12/11/2017 | Claimant(s): Pamela Nottingham
Claimant Lawyers(s): Barry Y. Weiner
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): T.R. Byrnum
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
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| 17-00982 | 10/30/2017 | Claimant(s): Harvey Boshart, James Fagan
Claimant Lawyers(s): Eugene Small
Respondent(s): Frederick Kobrick
Respondent Lawyers(s): Frederick Kobrick
Arbitrator(s): Richard J. Grahn, Frederick J. Myers, Arthur Thomas Carr
Hearing Site: Boston, MA
| | Expungement |
| 16-02895 | 07/03/2017 | Claimant(s): Thomas Bryant
Claimant Lawyers(s): David Glod
Respondent(s): State Street Global Markets
Respondent Lawyers(s): Morgan C. Nighan
Arbitrator(s): Richard J. Grahn, Jeffrey P. Petrucelly, George Weston Mann
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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| 12-01517 | 08/19/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jennifer R. O'Shea
Respondent(s): James Konaxis
Respondent Lawyers(s): James John Konaxis
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
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| 12-01551 | 11/27/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Nathan Carvalho
Respondent Lawyers(s): Nathan A Carvalho
Arbitrator(s): Richard J. Grahn
Hearing Site: Providence, RI
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| 10-03257 | 08/25/2011 | Claimant(s): Richard Denerstein
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Lawrence Brazie, Westminster Financial Securities.
Respondent Lawyers(s): Edward D. Muransky
Arbitrator(s): Richard J. Grahn, Pamela E. Berman, Peter Andrew Marx
Hearing Site: Boston, MA
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| 08-04393 | 11/11/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): John Leonetti
Respondent Lawyers(s): Paul J. Vincenti
Arbitrator(s): Richard J. Grahn, Marilyn H. Zuckerman, Dennis R. Surprenant
Hearing Site: Boston, MA
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