| 15-02083 | 02/01/2017 | Claimant(s): Paul Kaplan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): David Dyer, Alliance Affiliated Equities Corporation
Respondent Lawyers(s): David Freniere
Arbitrator(s): Sandor I. Rabkin, Byron Alexander Menides, Nickolas F. Monteforte
Hearing Site: Boston, MA
|  | $0 |
| 14-01159 | 10/22/2015 | Claimant(s): Roberta Heid
Claimant Lawyers(s): Matthew R. Skolnik
Respondent(s): Jeremy Lambert, Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Marian Smith Glenn, Nickolas F. Monteforte, Jan Elaine Christopher
Hearing Site: Wilmington, DE
| | Expungement |
| 13-00523 | 03/03/2014 | Claimant(s): Donald Landry
Claimant Lawyers(s): Sigmund D. Schutz
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Nickolas F. Monteforte, John J. Mager, Andrew Peter Maneval
Hearing Site: Manchester, NH
| | $124,904 |
| 12-00628 | 01/24/2013 | Claimant(s): Gail Jefferson IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): LPL Financial LLC, Paul Fitzpatrick
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): John A. Morin, Nickolas F. Monteforte, Susan E. Maloney
Hearing Site: Boston, MA
| | Expungement |
| 10-04064 | 06/06/2012 | Claimant(s): Warren Messier
Claimant Lawyers(s): Bruce A. Assad
Respondent(s): Henry Mello, Banc of America Investment Services Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): John Joseph Cotter, Nickolas F. Monteforte, Joseph Charles Kennedy
Hearing Site: Providence, RI
| | $0 |
| 09-05270 | 11/04/2010 | Claimant(s): Anil Chawla
Claimant Lawyers(s): Anil K. Chawla
Respondent(s): Carol Ring, Gregg Libutti, Valic Financial Advisors.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Susan Lauder Stewart
Hearing Site: Boston, MA
| | $0 |
| 08-03849 | 01/06/2010 | Claimant(s): James Dyko and Diane Dyko, JTWROS
Claimant Lawyers(s): John E. Sutherland
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Jack A. Marshall, Nickolas F. Monteforte, Andrea J. Goldman
Hearing Site: Boston, MA
| | $15,000 |
| 07-01976 | 10/09/2008 | Claimant(s): Susan J. Gallagher & John F. Gallagher
Claimant Lawyers(s): Bailey Buchanan Nowak
Respondent(s): Jesup & Lamont Securities Corp.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Lucy J. Karl, Nickolas F. Monteforte, Maura Lenore Tomaszewski
Hearing Site: Boston, MA
| | $0 |
| 06-02927 | 06/30/2008 | Claimant(s): Brendan R. Donovan, IRA
Claimant Lawyers(s): Brendan R. Donovan
Respondent(s): Richard Patterson, Lehman Brothers Inc
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): John B. Haggerty, Nickolas F. Monteforte, Gene M. Bauer
Hearing Site: Boston, MA
| | $0 |
