| 15-03475 | 06/17/2016 | Claimant(s): Parshwa Shah
Claimant Lawyers(s): Parshwa D Shah
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ryan T. Barke
Arbitrator(s): Joseph Charles Kennedy
Hearing Site: Boston, MA
|  | $213 |
| 15-02676 | 06/06/2016 | Claimant(s): McDaniel Family Trust
Claimant Lawyers(s): Janice April McDaniel
Respondent(s): Barry Armstrong, Brendan Hayes, Securities America., Paul Parsons, Susan Powers
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Paul A. Auerbach
Hearing Site: Boston, MA
| | Dismissed by Rule 12504 |
| 14-03494 | 05/05/2016 | Claimant(s): Russell Cable
Claimant Lawyers(s): Robert Aronson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): John A. Goc, Michael P. Anciello, Sylvia E. Green
Hearing Site: Boston, MA
| | Expungement |
| 15-00981 | 02/25/2016 | Claimant(s): Lawrence Genovesi
Claimant Lawyers(s): Michael R. Perry
Respondent(s): Carol Ball
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Gerard S. Marsan, Michael P. Anciello, Joseph Samuel Berman
Hearing Site: Boston, MA
| | $0 |
| 14-00302 | 01/11/2016 | Claimant(s): Carlos Zarate
Claimant Lawyers(s): George W. Price
Respondent(s): Morgan Stanley, Michael Saidi
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): B. John Dill, James R. Collins, Mary E. Bassett
Hearing Site: Boston, MA
| | Expungement |
| 14-03705 | 12/08/2015 | Claimant(s): Genevieve Lenehan
Claimant Lawyers(s): Robert Jutras
Respondent(s): Justin Amaral, Morgan Stanley
Respondent Lawyers(s): Amy McCallen, William Hohauser
Arbitrator(s): John A. Morin, Robert J. Ambrogi, Melinda S. Milberg
Hearing Site: Boston, MA
| | $1,058,600 |
| 12-03270 | 11/25/2015 | Claimant(s): Leona Tigar, Michael Tigar, Tigar Refrigeration Co..
Claimant Lawyers(s): Stephen Wald
Respondent(s): UBS Financial Services Inc., UBS Global Asset Management (US) Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Chesley Oriel, Colette Manoil, Thomas C. Tretter
Hearing Site: Boston, MA
| | $0 |
| 14-03809 | 10/23/2015 | Claimant(s): Sylvia Keyes, Sylvia Keyes IRA Rollover Account, TTEE
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): David Messaline, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Colette Manoil, Dennis M. Cronin, James R. Collins
Hearing Site: Boston, MA
| | $175,425 |
| 14-01942 | 10/21/2015 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Tom L. Peterson, Arnold M. Marrow, Susan Lauder Stewart
Hearing Site: Boston, MA
| | $0 |
| 06-01354 | 10/16/2015 | Claimant(s): Adele Simonds
Claimant Lawyers(s): Adele Simonds
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Jacqueline Marie Pierre, Howard N. Gorney, Steven S. Manos
Hearing Site: Boston, MA
| | $0 |
