| 11-04012 | 07/31/2012 | Claimant(s): Laila Assouassi
Claimant Lawyers(s): Laila Assouassi
Respondent(s): Trade Monster
Respondent Lawyers(s): Michael Albino
Arbitrator(s): John B. Kinsellagh
Hearing Site: Boston, MA
|  | $0 |
| 10-05715 | 07/09/2012 | Claimant(s): Janet Schmidt, MJN Construction, The Schmidt Family Trust
Claimant Lawyers(s): Eileen M. Donoghue
Respondent(s): UBS Financial Services Inc., Laurence Knowlton, Robert Cataldo
Respondent Lawyers(s): Jeffrey L. Friedman, Robert Anthony Cataldo
Arbitrator(s): Richard J. Grahn, William R Harding, Steven S. Manos
Hearing Site: Boston, MA
| | $809,500 |
| 10-05205 | 04/17/2012 | Claimant(s): John Somers
Claimant Lawyers(s): Albert A DeNapoli
Respondent(s): John Sexton, Steven Rabinovici, William Moreno
Respondent Lawyers(s): Todd A Zuckerbrod, Todd A. Zuckerbrod
Arbitrator(s): Howard I. Wilgoren, Edward Aptaker, Maxwell J. Mahoney
Hearing Site: Boston, MA
| | $0 |
| 10-01102 | 03/16/2012 | Claimant(s): Maureen B. Joyce
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brady J. Hermann
Arbitrator(s): Amy Lampert, Irene Scharf, B. John Dill
Hearing Site: Boston, MA
| | $37,646 |
| 11-01830 | 02/27/2012 | Claimant(s): John C. Reppucci TTEE M&M Plans.
Claimant Lawyers(s): John E. Sutherland
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
| | $21,000 |
| 10-03416 | 02/14/2012 | Claimant(s): Dianne Dingolo, Robert Dingolo
Claimant Lawyers(s): R. Alan Fryer
Respondent(s): Wells Fargo Advisors, Robert Maiocco
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): Sandor I. Rabkin, Thomas J. Nash, Thomas P. Bowman
Hearing Site: Boston, MA
| | $370,880 |
| 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 |
| 10-03196 | 01/13/2012 | Claimant(s): George Berman
Claimant Lawyers(s): Edward C. Cooley
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Nelson P. Lovins, Robert L. Barker, Howard N. Gorney
Hearing Site: Boston, MA
| | Expungement |
| 09-02085 | 01/04/2012 | Claimant(s): Kin Lee and Fanny Ling S. Tsui
Claimant Lawyers(s): Peter Mark Bizinkauskas
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Edward M. Rosensteel, Missy Daboul Margolis, Frank A. Yee, Leon E. Byng
Hearing Site: Boston, MA
| | $59,092 |
| 10-05206 | 12/29/2011 | Claimant(s): Priscilla D. Johnson, IRA, William P. Johnson IRA, William P. Johnson & Priscilla D. Johnso
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Michael P. Anciello, Gene M. Bauer, Barry Joseph Fiske
Hearing Site: Boston, MA
| | Expungement |
