| 12-01403 | 01/28/2014 | Claimant(s): Peter Kelly
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Anthony Nofi, Ameriprise Financial Services., H&R Block Financial Advisors n/k/a Ameri
Respondent Lawyers(s): Howard M. Klausmeier, Howard Klausmeier
Arbitrator(s): Howard M. Miller, Susan Largay, Thomas P. Bowman
Hearing Site: Boston, MA
|  | Expungement |
| 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 |
| 13-00034 | 11/06/2013 | Claimant(s): James Shannon
Claimant Lawyers(s): Richard M. Gelb
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert Volk, Arthur J. Giacomarra, Arnold M. Marrow
Hearing Site: Boston, MA
| | $300 |
| 12-02581 | 10/24/2013 | Claimant(s): Arthur Giangrande
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Nancy E. Watters, Christine Pastelis Ritch, Thomas Matthew Madden
Hearing Site: Boston, MA
| | $190,345 |
| 12-00626 | 10/04/2013 | Claimant(s): Kathleen Wu
Claimant Lawyers(s): Thomas G. Shapiro
Respondent(s): Eric Gauster, Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Mary C. Kelleher, David Ellis, Andrea J. Goldman
Hearing Site: Boston, MA
| | $452,060 |
| 11-04815 | 08/22/2013 | Claimant(s): HITE Hedge Asset Management, HITE Hedge Offshore Ltd., HITE Hedge LP
Claimant Lawyers(s): Michael D. Ricciuti
Respondent(s): Jon Wessels, Sanders Morris Harris Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Richard J. Grahn, Edward Aptaker, Thomas J. Nash
Hearing Site: Boston, MA
| | $442,055 |
| 11-03987 | 08/14/2013 | Claimant(s): Cathleen Waugh, Christopher Waugh
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Gregory Friel, Russell Wasendorf
Respondent Lawyers(s): Richard Freeth, Russell R. Wasendorf
Arbitrator(s): Sandor I. Rabkin, Gene M. Bauer, Paul A. Auerbach
Hearing Site: Boston, MA
| | $70,000 |
| 13-00229 | 07/31/2013 | Claimant(s): Ronald Agel
Claimant Lawyers(s): Ronald Agel
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Ronald L. Cheney
Hearing Site: Boston, MA
| | $0 |
| 11-04177 | 07/12/2013 | Claimant(s): Joseph Calabrese
Claimant Lawyers(s): Jenny L. Margeson
Respondent(s): Phillip Cheney, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Brian J. Dunn, James Alden Lincoln, Steven S. Manos
Hearing Site: Boston, MA
| | Expungement |
| 12-04100 | 07/08/2013 | Claimant(s): John Saint-Amour
Claimant Lawyers(s): David H. Gibbs
Respondent(s): Daniel Ball, Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Kelly M. Lonergan
Hearing Site: Boston, MA
| | $0 |
