| 19-01432 | 03/23/2020 | Claimant(s): Ann DeQuattro
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Gregory Dudzik, Steven Pitassi, Janney Montgomery Scott LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): James R. Collins, Karen Kupersmith, Nicholas Trott Long
Hearing Site: Providence, RI
|  | $125,000 |
| 18-03771 | 01/03/2020 | Claimant(s): Randall Gale
Claimant Lawyers(s): Jeffrey S. Eisenberg
Respondent(s): Geoffrey Garratt
Respondent Lawyers(s): Geoffrey Garratt
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
| | $75,023 |
| 17-02035 | 11/20/2018 | Claimant(s): Kenneth Ebbe
Claimant Lawyers(s): Blake Godbout
Respondent(s): Jill Cody, Richard Cody, Concorde Investment Services, Westminster Financial Advisory Corp., Westminster Financial Securities.
Respondent Lawyers(s): Gerry J. Kowalski, Jill M. Cody, Joseph S. Simms, Richard Grant Cody
Arbitrator(s): James R. Collins, Christine R. Fitzgerald, Mary E. Bassett
Hearing Site: Boston, MA
| | $286,096 |
| 15-01304 | 10/31/2017 | Claimant(s): Richard Kosinski
Claimant Lawyers(s): Stephen J. Rodman
Respondent(s): Deutsche Bank Securities., Daniel Ryan, Eric Philippi
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Ericka B. Gray, James R. Collins, Merriann Panarella
Hearing Site: Boston, MA
| | $0 |
| 16-01277 | 08/16/2017 | Claimant(s): R. B. Corbin, Jr. Trust
Claimant Lawyers(s): Richard B. Corbin
Respondent(s): Wells Fargo Advisors, Maiya Furgason
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Steven R. Rolnick, James R. Collins, Thomas Matthew Madden
Hearing Site: Providence, RI
| | $0 |
| 14-00302 | 01/11/2016 | Claimant(s): Carlos Zarate
Claimant Lawyers(s): George W. Price
Respondent(s): Morgan Stanley, Michael Saidi
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): B. John Dill, James R. Collins, Mary E. Bassett
Hearing Site: Boston, MA
| | Expungement |
| 14-03809 | 10/23/2015 | Claimant(s): Sylvia Keyes, Sylvia Keyes IRA Rollover Account, TTEE
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): David Messaline, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Colette Manoil, Dennis M. Cronin, James R. Collins
Hearing Site: Boston, MA
| | $175,425 |
| 13-03767 | 05/11/2015 | Claimant(s): Michael Bruck, MBB Trust
Claimant Lawyers(s): Michael Bruck
Respondent(s): Craig Lewis, Morgan Stanley, Peter Grave
Respondent Lawyers(s): Tabitha Bartholomew
Arbitrator(s): Jeffrey P. Petrucelly, James R. Collins, John J. Kenny
Hearing Site: Boston, MA
| | $253,402 |
| 10-00519 | 04/18/2013 | Claimant(s): Harriet L. and Michael S. Silverman
Claimant Lawyers(s): Michael G. Paris
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Sperlinga
Respondent Lawyers(s): Jennifer R. Seltenrich
Arbitrator(s): B. J. Krintzman, Michael L. Letendre, James R. Collins
Hearing Site: Boston, MA
| | $82,357 |
| 10-04306 | 01/23/2012 | Claimant(s): Candace Roderick, Kayla Ann Roderick Trust, Olive M. Larwrence Trust
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Mary C. Kelleher, Christine Armstrong, James R. Collins
Hearing Site: Boston, MA
| | Expungement |
