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 |
09-05270 | 11/04/2010 | Claimant(s): Anil Chawla Claimant Lawyers(s): Anil K. Chawla Respondent(s): Carol Ring, Gregg Libutti, Valic Financial Advisors. Respondent Lawyers(s): Debra A. Jenks Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Susan Lauder Stewart Hearing Site: Boston, MA
| | $0 |
09-05931 | 10/19/2010 | Claimant(s): Isabelle Chang Claimant Lawyers(s): Stephen Z. Frank Respondent(s): Troy McElreath, Advisory Group Equity Services Ltd. Respondent Lawyers(s): Allen N. David Arbitrator(s): David Ellis, Howard I. Wilgoren, Debra M. Brown Hearing Site: Boston, MA
| | $121,030 |
09-03682 | 10/15/2010 | Claimant(s): James Vogel Claimant Lawyers(s): Thomas H. Tucker Respondent(s): Citigroup Global Markets., Peter Dolan, Troy Rothmann Respondent Lawyers(s): Peter C Dolan, William A. Hohauser Arbitrator(s): Morris J. Levin, Marilyn H. Zuckerman, John Joseph Cotter Hearing Site: Boston, MA
| | $30,000 |
09-05044 | 10/08/2010 | Claimant(s): Alan Biren, John Tucker Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): John K. Wells Arbitrator(s): Kelly M. Lonergan, Patrick W. McKeon, John J. Kenny Hearing Site: Boston, MA
| | $1,085,600 |
09-03884 | 08/03/2010 | Claimant(s): TD Ameritrade. Claimant Lawyers(s): James Vihstadt Respondent(s): Nancy Frain, William Frain Respondent Lawyers(s): William F. Frain Arbitrator(s): Chesley Oriel Hearing Site: Boston, MA
| | $0 |
09-06873 | 07/30/2010 | Claimant(s): James Cunningham Claimant Lawyers(s): James Cunningham Respondent(s): LPL Financial LLC Respondent Lawyers(s): James D. Vannah Arbitrator(s): William I. Carmen Hearing Site: Boston, MA
| | $1,432 |
09-04887 | 07/23/2010 | Claimant(s): James Shuel Claimant Lawyers(s): Thomas H Tucker Respondent(s): Wachovia Securities, Michael Ceccon Respondent Lawyers(s): Christopher P. Litterio Arbitrator(s): Richard J. Grahn, B. John Dill, Maxwell J. Mahoney Hearing Site: Boston, MA
| | $39,000 |
09-02156 | 07/22/2010 | Claimant(s): Jon Dame and Nancy Powlowsky - JTWROS Claimant Lawyers(s): Sean T. Carnathan Respondent(s): J Maxwell, Oppenheimer & Co.. Respondent Lawyers(s): Deborah L. Thaxter, Matthew T. McLaughlin Arbitrator(s): Susan E. Maloney, Andrew Wayne Wunsch, Evalyn Lipton Fishbein Hearing Site: Boston, MA
| | $0 |
09-03788 | 07/20/2010 | Claimant(s): David Gelerman Claimant Lawyers(s): David A. Conti Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Cameron S. Matheson Arbitrator(s): William H. McCarter, Howard M. Miller, Pamela E. Berman Hearing Site: Boston, MA
| | $232,441 |