| 19-03332 | 06/08/2021 | Claimant(s): Martin Kaplan
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): Next Financial Group.
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): John Francis Markuns, Paula M. Bagger, Gail Sillman
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 |
| 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 |
| 13-02069 | 05/01/2015 | Claimant(s): James Briggs, Louisa Briggs
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Brent Porges, Craig Taddonio, David Cannata, David Locy, Brookstone Securities., Craig Scott Capital
Respondent Lawyers(s): Harry Delagrammatikas, William M. Dolan
Arbitrator(s): Timothy F. Shanahan, John Francis Markuns, B. J. Krintzman
Hearing Site: Providence, RI
| | $438,454 |
| 13-01248 | 08/08/2014 | Claimant(s): Nicholas Maloof
Claimant Lawyers(s): Matthew J. Tuttle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): David Ellis, Sandor I. Rabkin, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
| 11-02351 | 06/07/2013 | Claimant(s): David Rome, Ellen Rome, as Trustee for the Pyle Rome, Warren H. Pyle, Ttee of Warren H Pyle
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Susan E. Maloney, Barry Joseph Fiske, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
| 11-00603 | 04/02/2013 | Claimant(s): Chase Bailey
Claimant Lawyers(s): Michael R. Perry
Respondent(s): Karl Hahn
Respondent Lawyers(s): Karl Edward Hahn
Arbitrator(s): June Y. Kilmarx, Andrew Peter Maneval, John Francis Markuns
Hearing Site: Manchester, NH
| | $10,555,000 |
| 12-00035 | 02/14/2013 | Claimant(s): Scottrade Inc.
Claimant Lawyers(s): Niels P. Murphy
Respondent(s): Farid Mohamed
Respondent Lawyers(s): John P. Connolly
Arbitrator(s): Richard J. Grahn, Suzanne Lee Johnson, John Francis Markuns
Hearing Site: Boston, MA
| | $0 |
