| 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 |
| 16-00707 | 04/20/2017 | Claimant(s): Michael Lebner, Patricia Lebner
Claimant Lawyers(s): Adam Gana
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Ericka B. Gray, Denise L. Presley, Christopher William McHallam
Hearing Site: Boston, MA
| | Expungement |
| 16-00246 | 04/04/2017 | Claimant(s): George Wood
Claimant Lawyers(s): Scott Fink
Respondent(s): Heather Weber, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Melinda S. Milberg, Denise L. Presley, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
| 15-02083 | 02/01/2017 | Claimant(s): Paul Kaplan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): David Dyer, Alliance Affiliated Equities Corporation
Respondent Lawyers(s): David Freniere
Arbitrator(s): Sandor I. Rabkin, Byron Alexander Menides, Nickolas F. Monteforte
Hearing Site: Boston, MA
| | $0 |
| 16-00925 | 10/24/2016 | Claimant(s): Clotilda Ware, Eugene J. Ware
Claimant Lawyers(s): Eugene J. Ware
Respondent(s): Joseph Colell
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Frank Sanclemente
Hearing Site: Boston, MA
| | $325 |
| 16-00218 | 10/19/2016 | Claimant(s): Sophie Shen
Claimant Lawyers(s): Sanford F. Remz
Respondent(s): Christopher Moschella, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Amy Lampert, Gene M. Bauer, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
| 16-00252 | 09/23/2016 | Claimant(s): Sharon Polk-Sadownik
Claimant Lawyers(s): Sharon Polk-Sadownik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $3,396 |
| 16-00171 | 08/18/2016 | Claimant(s): Edward Cohen, Judith Cohen
Claimant Lawyers(s): Edward Cohen
Respondent(s): Andrew Black, Daniel Digilio, TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Boston, MA
| | $0 |
| 14-03528 | 07/26/2016 | Claimant(s): Kevin Hanna
Claimant Lawyers(s): Warren D. Hutchison
Respondent(s): Bradley Ross, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Sandor I. Rabkin, Catherine M. Gallagher, Thomas C. Tretter
Hearing Site: Boston, MA
| | $225,000 |
| 15-03106 | 07/19/2016 | Claimant(s): Brendan Keohan
Claimant Lawyers(s): Brendan Keohan
Respondent(s): Fidelity Investments Institutional Srvcs
Respondent Lawyers(s): Lauren E. Ingoldsby
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Boston, MA
| | $0 |
