| 22-01942 | 04/09/2024 | Claimant(s): John Enderle, Marguerite Enderle, Nicholas Salerno
Claimant Lawyers(s): Joshua Kons
Respondent(s): Michael Dworetsky, Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Steven R. Rolnick, John J. Mager, Patrick Leo Kennedy
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206 |
| 21-01271 | 01/26/2024 | Claimant(s): Katharine Constable
Claimant Lawyers(s): Andrew D. O'Toole
Respondent(s): Frank Epinger, J.P. Morgan Securities, Jacqueline Rahn, Jonathan Galan, Trevor Rahn
Respondent Lawyers(s): David Harrison, Dexter B. Johnson, Eugene L. Small, Michael M. Wilson
Arbitrator(s): Diane Ciccone, Steven R. Rolnick, David Adams Reif
Hearing Site: Hartford, CT
| | Expungement |
| 22-00227 | 10/30/2023 | Claimant(s): Lauren Gazzola as AIF for Robert Gazzola, The Robert Gazzola Irrevocable Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Jud Perkins, David Adams Reif, Ilene J Feldman
Hearing Site: Hartford, CT
| | Dismissed by Rule 12212© |
| 21-02920 | 10/18/2023 | Claimant(s): Erik Kuselias
Claimant Lawyers(s): Brian C. Fournier
Respondent(s): Scott Dorer, Steven Loveall, Securities America.
Respondent Lawyers(s): Brian J. Palmeri, Greg Curley
Arbitrator(s): Samuel H. Chorches, Thomas M. Madden, Andrew Stephen Knott
Hearing Site: Hartford, CT
| | $0 |
| 21-03139 | 08/02/2023 | Claimant(s): Catherine Brown, Denise Correia
Claimant Lawyers(s): August M. Iorio
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Gregory Hunter Mathews, Robert M. Singer, Michael R. Ricci
Hearing Site: Hartford, CT
| | Expungement |
| 20-03379 | 07/26/2023 | Claimant(s): Andrew Wysocki, Dean Wysocki
Claimant Lawyers(s): Michael Hill
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Samuel H. Chorches, Peter E. Gillespie, Ilene J Feldman
Hearing Site: Hartford, CT
| | Expungement |
| 22-00220 | 06/13/2023 | Claimant(s): Dena Tucker, Estate of Robert P. Tucker
Claimant Lawyers(s): Joseph A. Hourihan
Respondent(s): Jesse Fable, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Thomas M. Madden
Hearing Site: Hartford, CT
| | $0 |
| 21-00467 | 04/13/2023 | Claimant(s): Donald Cariati, Carmine Cariati Rev Trust Feb 16, 2017
Claimant Lawyers(s): Richard Slavin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Edward W. Morris, Christopher Meisenkothen, Jud Perkins
Hearing Site: Hartford, CT
| | $0 |
| 22-02487 | 03/21/2023 | Claimant(s): Estate of Richard W. Shettle
Claimant Lawyers(s): Greg Shettle
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): William A. Barrett
Hearing Site: Hartford, CT
| | $19,167 |
| 22-01068 | 11/23/2022 | Claimant(s): Cam Grace Porter, David Latimer Porter
Claimant Lawyers(s): Howard Rosenfield
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Jill Pilgrim
Hearing Site: Hartford, CT
| | $0 |
