| 18-00156 | 10/24/2018 | Claimant(s): Elizabeth Cleary
Claimant Lawyers(s): Michael Vigorito
Respondent(s): Berthel, Fisher & Company Financial Ser.
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): B. John Dill, Paul A. Auerbach, Peter Andrew Marx
Hearing Site: Boston, MA
|  | $0 |
| 17-01671 | 10/12/2018 | Claimant(s): Margaret Lee, Robert Lee
Claimant Lawyers(s): Daniel J. Dwyer
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Peter J. Dale, Gerard S. Marsan, Susan E. Maloney
Hearing Site: Boston, MA
| | $34,537 |
| 18-00056 | 06/12/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D Berg
Respondent(s): Jared Azriel
Respondent Lawyers(s): Jared Azriel
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | $0 |
| 17-00422 | 03/22/2018 | Claimant(s): Hui Liao
Claimant Lawyers(s): Hui Z. Liao
Respondent(s): Andrew Flessel, Matthew Fraser, Melanie Hart, Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Joshua D. Jones, Kevin W. Clancy
Arbitrator(s): Michael J. McNeil, Susan E. Maloney, Peter M Cosel
Hearing Site: Boston, MA
| | $0 |
| 16-01590 | 01/30/2018 | Claimant(s): George Donnegan
Claimant Lawyers(s): Sean C. Flaherty
Respondent(s): Mike Emmanouilidis, Yiannis Emmanouilidis
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): William A. Barrett, John H. Henn, Gerard S. Marsan
Hearing Site: Boston, MA
| | Expungement |
| 17-01522 | 01/04/2018 | Claimant(s): Xiang Zhang
Claimant Lawyers(s): Xiang Zhang
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): T.R, Bynum
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | $38 |
| 16-02084 | 12/22/2017 | Claimant(s): Giovanni Lanza, Mariantonia Lanza
Claimant Lawyers(s): Edwin L. Doernberger
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert Titus, Morton S. Bunis, Peter Andrew Marx
Hearing Site: Boston, MA
| | $0 |
| 16-00969 | 11/27/2017 | Claimant(s): John Mixon
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Colette Manoil
Hearing Site: Boston, MA
| | Expungement |
| 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 |
| 16-00301 | 09/01/2017 | Claimant(s): Kathryn Thatcher
Claimant Lawyers(s): Timothy J. Perry
Respondent(s): Charles Marvin, Morgan Stanley, Richard Hartnett
Respondent Lawyers(s): Lisa B. Dodge, Neil S. Baritz
Arbitrator(s): John Joseph Cotter, Joseph Charles Kennedy, Thomas Matthew Madden
Hearing Site: Boston, MA
| | Expungement |
