| 13-00203 | 06/19/2015 | Claimant(s): Eloise Clawson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Chesley Oriel, John B. Kinsellagh, Gene M. Bauer
Hearing Site: Boston, MA
|  | $0 |
| 12-03796 | 06/18/2015 | Claimant(s): Mary Mahoney, James & Delores Caggiano
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Tom L. Peterson, William R Harding, Gene M. Bauer
Hearing Site: Boston, MA
| | $0 |
| 14-01552 | 06/08/2015 | Claimant(s): Cindy-Marie Rogers
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Joan Norton, Ausdal Financial Partners.
Respondent Lawyers(s): Jeffrey S. McAllister
Arbitrator(s): Patricia Gatto Hechavarria, Jeffrey P. Petrucelly, Lisette C. Smith
Hearing Site: Boston, MA
| | $1,250,800 |
| 13-03767 | 05/11/2015 | Claimant(s): Michael Bruck, MBB Trust
Claimant Lawyers(s): Michael Bruck
Respondent(s): Craig Lewis, Morgan Stanley, Peter Grave
Respondent Lawyers(s): Tabitha Bartholomew
Arbitrator(s): Jeffrey P. Petrucelly, James R. Collins, John J. Kenny
Hearing Site: Boston, MA
| | $253,402 |
| 14-00325 | 04/16/2015 | Claimant(s): Leon Wirtenberg
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christian D. Johnson
Arbitrator(s): B. J. Krintzman, Susan Largay, John J. Kenny
Hearing Site: Boston, MA
| | Expungement |
| 14-02179 | 02/18/2015 | Claimant(s): Paul William Stiehl and Patricia Stiehl
Claimant Lawyers(s): Paul Stiehl
Respondent(s): Wells Fargo Advisors, Leland Cary
Respondent Lawyers(s): Leland Cary, Thomas F. Kopshever
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
| | $0 |
| 13-02776 | 12/02/2014 | Claimant(s): Pamela Mok, M.D. Roller IRA, M.D. SEP IRA, Paul Wood, Paul Wood and Pamela Mok
Claimant Lawyers(s): Paul A. Wood
Respondent(s): UBS Financial Services Inc., Maxwell Bardeen, Wyatt Larsen
Respondent Lawyers(s): Michael Torres
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | $0 |
| 13-01730 | 11/28/2014 | Claimant(s): Anna Sabatino
Claimant Lawyers(s): Evans J. Carter
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | $0 |
| 13-02842 | 10/28/2014 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Chesley Oriel, Zenon Charles Tencza, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 13-00051 | 09/05/2014 | Claimant(s): Marilyn McAllister
Claimant Lawyers(s): Kristian P. Kraszewiski
Respondent(s): Joel Blumenschein, Freedom Investors Corp.
Respondent Lawyers(s): Jennifer Woods Burke, Joel Reid Blumenschein
Arbitrator(s): Howard M. Miller
Hearing Site: Boston, MA
| | Expungement |
