| 20-01917 | 12/23/2020 | Claimant(s): Robert Valley, RAV-86 Associates, 1986 Valley Family Trust
Claimant Lawyers(s): Robert Valley
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Steven S. Manos
Hearing Site: New London, CT
|  | $0 |
| 17-03106 | 03/20/2020 | Claimant(s): Randy O'Brien, William O'Brien, Randy O'Brien owner ROTH IRA, Randy O'Brien owner Traditional IRA, William F. O'Brien, Jr. owner ROTH IRA, Randy and William Francis O'Brien, Randy O'Brien Trust, Seth E. Ellis Esq. The O'Brien Family, Seth E. Ellis The O'Brien Family Irrevoc, The O'Brien Family Irrevocable Life Insu, The O'Brien Family Irrevocable Trust, Jr. Trust, 529 Plan FBO Conor O'Brien UTMA, 529 Plan FBO Molly O'Brien UTMA, MSB FBO WR Acquisitions, L.P. - WR Asset, WR Acquisitions LP WR Asset Management, WR Asset Management
Claimant Lawyers(s): Brian M. Haney
Respondent(s): Morgan Stanley, Jonathan Lonske
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): John Joseph Cotter, Andrea J. Goldman, Steven S. Manos
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 |
| 11-04177 | 07/12/2013 | Claimant(s): Joseph Calabrese
Claimant Lawyers(s): Jenny L. Margeson
Respondent(s): Phillip Cheney, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Brian J. Dunn, James Alden Lincoln, Steven S. Manos
Hearing Site: Boston, MA
| | Expungement |
| 10-05715 | 07/09/2012 | Claimant(s): Janet Schmidt, MJN Construction, The Schmidt Family Trust
Claimant Lawyers(s): Eileen M. Donoghue
Respondent(s): UBS Financial Services Inc., Laurence Knowlton, Robert Cataldo
Respondent Lawyers(s): Jeffrey L. Friedman, Robert Anthony Cataldo
Arbitrator(s): Richard J. Grahn, William R Harding, Steven S. Manos
Hearing Site: Boston, MA
| | $809,500 |
| 09-01923 | 03/14/2011 | Claimant(s): Ben Joseph Trust (UA DTD 12/31/82, Epstein Real Estate Advisory Ret. Trust
Claimant Lawyers(s): Peter A. Lagorio
Respondent(s): Adam Gutman, E*Trade Securities LLC
Respondent Lawyers(s): Richard Michaud
Arbitrator(s): Pete S. Michaels, Arthur J. Giacomarra, Steven S. Manos
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
