| 19-02034 | 04/26/2022 | Claimant(s): Michael Arnheiter
Claimant Lawyers(s): Thomas N O'Connor
Respondent(s): Kenneth Kitchin, NYLife Securities LLC, New York Life Insurance Company, New York Life Insurance and Annuity Corp
Respondent Lawyers(s): Ralph T. Lepore, III
Arbitrator(s): Robert J. Ambrogi, Sharon L. Monroe, Joseph Edward Riley
Hearing Site: Boston, MA
|  | Expungement |
| 18-02237 | 11/07/2018 | Claimant(s): Darcy LaLonde
Claimant Lawyers(s): Darcy LaLonde
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Syracuse, NY
| | $163 |
| 15-02574 | 06/09/2016 | Claimant(s): Michael Caprario
Claimant Lawyers(s): Michael Caprario
Respondent(s): Dain StokesL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
| | Expungement |
| 14-03705 | 12/08/2015 | Claimant(s): Genevieve Lenehan
Claimant Lawyers(s): Robert Jutras
Respondent(s): Justin Amaral, Morgan Stanley
Respondent Lawyers(s): Amy McCallen, William Hohauser
Arbitrator(s): John A. Morin, Robert J. Ambrogi, Melinda S. Milberg
Hearing Site: Boston, MA
| | $1,058,600 |
| 14-00047 | 07/13/2015 | Claimant(s): Ann Clark, James Clark
Claimant Lawyers(s): James O. Clark
Respondent(s): Jovannie Aquino, National Securities Corporation, Michael O'callaghan
Respondent Lawyers(s): Jovannie Aquino, Thomas J. Walsh
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
| | $0 |
| 13-01730 | 11/28/2014 | Claimant(s): Anna Sabatino
Claimant Lawyers(s): Evans J. Carter
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | $0 |
| 10-02414 | 11/15/2013 | Claimant(s): Mark Pasillo, Susan Pasillo
Claimant Lawyers(s): Irwin Stein
Respondent(s): James Walsh
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): June Y. Kilmarx, Iris Taymore Schnitzer, Robert J. Ambrogi
Hearing Site: Boston, MA
| | Expungement |
| 11-04063 | 05/24/2013 | Claimant(s): Steven Mink
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Augusta, ME
| | Expungement |
| 11-03871 | 02/26/2013 | Claimant(s): Howard Christian
Claimant Lawyers(s): Howard J. Christian
Respondent(s): Edward McBride, Gregg Libutti, Jeffrey Endicott, AIG Retirement Advisors., Valic Financial Advisors.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Robert J. Ambrogi, Edward Aptaker, Susan E. Maloney
Hearing Site: Boston, MA
| | $0 |
| 11-00048 | 06/20/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mike Naccarato
Respondent(s): Joan Gerhardt
Respondent Lawyers(s): Joan Gerhardt
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Providence, RI
| | $0 |
