| 23-01890 | 05/02/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Erico Galvez, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Peraner-Sweet, Rachael L. Carp
Arbitrator(s): Robert L. Chase, David J. Kaufman, David S. Godkin
Hearing Site: Augusta, ME
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| 22-02791 | 01/22/2024 | Claimant(s): Thomas Curtin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
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| 20-01594 | 09/20/2021 | Claimant(s): Brandon Cheshier
Claimant Lawyers(s): Danilo Borgas
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Brenna Anatone Force
Arbitrator(s): Jim Geiger, Robert L. Chase, John C Solomon
Hearing Site: Providence, RI
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| 19-00372 | 08/23/2021 | Claimant(s): Joao Lopes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Robert L. Chase
Hearing Site: Manchester, NH
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| 19-01044 | 02/17/2021 | Claimant(s): Shawna Mead
Claimant Lawyers(s): Shawna Danette Mead
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Robert L. Chase, Robert M. Singer, Karen Kim
Hearing Site: Hartford, CT
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| 11-01592 | 06/19/2013 | Claimant(s): Kevin Carey
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): ING Financial Advisers
Respondent Lawyers(s): David R. Jiminez
Arbitrator(s): Barry Quint, Lewis S. Kurlantzick, Robert L. Chase
Hearing Site: Hartford, CT
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| 05-04867 | 09/06/2007 | Claimant(s): Joseph Hinkley
Claimant Lawyers(s): Leon J. Greenspan
Respondent(s): Clifford Reid, Edward Rudiger, Marc Harrison, Reid & Rudiger
Respondent Lawyers(s): Joel Forman
Arbitrator(s): Robert L. Chase, Blossom Nicinski, Bernard Rosen
Hearing Site: New York, NY
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