| 11-03597 | 07/02/2013 | Claimant(s): Deborah Prentice
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Jennifer L. Bliss, Robert J. Allen, Rocco Michael Scanza
Hearing Site: Syracuse, NY
|  | Expungement |
| 11-03258 | 03/13/2013 | Claimant(s): Dana Schiaffo
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Daniel Tucker, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Paul Weinberg, Doris B. Nathan, Marian Rachel Lewis
Hearing Site: New York, NY
| | Expungement |
| 12-00704 | 02/25/2013 | Claimant(s): Kenneth and Lorraine DeBritto
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Lewis J. Levey
Hearing Site: Ft. Lauderdale, FL
| | Dismissed by Rule 12206 |
| 12-00949 | 02/20/2013 | Claimant(s): Anthonio Ricatti, Dana Ganci, Gloria Helman, John Ganci, Michael Allard
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter King
Arbitrator(s): Linda M. Granata, Michael A. Levin, Glenn Franklin Fuller
Hearing Site: Ft. Lauderdale, FL
| | Dismissed by Rule 12206 |
| 10-05543 | 07/02/2012 | Claimant(s): DeJohn Family LLLP
Claimant Lawyers(s): Garry W. O'Donnell
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Gloria O. North, Marc T. Danon, Richard Adam Sachs
Hearing Site: Boca Raton, FL
| | $0 |
| 10-02864 | 11/23/2010 | Claimant(s): Gordon W. Leech and Robbie L. Leech, Joi
Claimant Lawyers(s): J. Michael Jordan
Respondent(s): Darin Pierce, Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
| | $3,425 |
| 09-04893 | 11/11/2010 | Claimant(s): Marc Curtis
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Thomas Bartholomew, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Colette Manoil, Kelly M. Lonergan, Dennis M. Cronin
Hearing Site: Boston, MA
| | $0 |
| 08-04123 | 06/08/2010 | Claimant(s): Scott Thayer
Claimant Lawyers(s): Elliott L. Epstein
Respondent(s): Richard Liberty, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Mary C. Kelleher, Jack A. Marshall, Shari B. Broder
Hearing Site: Augusta, ME
| | $0 |
| 08-04432 | 05/21/2010 | Claimant(s): Linda Manjarrez
Claimant Lawyers(s): Evans J. Carter
Respondent(s): Paul Hess, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): June Y. Kilmarx, Peter Svorinic, Jeffrey S. Troderman
Hearing Site: Boston, MA
| | $0 |
| 05-06272 | 02/04/2008 | Claimant(s): Sheila Whitcomb
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Stephen Z. Frank, William Norton
Hearing Site: Manchester, NH
| | Stipulated Award |
