| 21-02086 | 05/07/2024 | Claimant(s): Gerry Reardon
Claimant Lawyers(s): Robert Loventhal
Respondent(s): Glen Dowden, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton, William A. Haddad
Arbitrator(s): Howard N. Gorney, Stewart John Smith
Hearing Site: Boston, MA
|  | Expungement |
| 23-00170 | 04/16/2024 | Claimant(s): David Pogorelc
Claimant Lawyers(s): Christopher J. Major
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Andrew J. Melnick
Arbitrator(s): Howard N. Gorney, Jeff Spears, Stephen James McLaughlin
Hearing Site: Boston, MA
| | $0 |
| 23-03118 | 03/06/2024 | Claimant(s): Robert Driscoll, Sheila Driscoll
Claimant Lawyers(s): Michael Hill
Respondent(s): Martin Noonan
Respondent Lawyers(s): Martin Noonan
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | $63,825 |
| 21-01974 | 05/30/2023 | Claimant(s): Betty Sprague, Eric Orkin
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Triad Advisors LLC, Lion Street Financial
Respondent Lawyers(s): Gerry Kowalski, Kathy M. Klock
Arbitrator(s): Edward W. Morris, Howard N. Gorney, Sean Michalski
Hearing Site: Manchester, NH
| | Expungement |
| 22-01025 | 05/08/2023 | Claimant(s): Kenneth Woodfield, Michael Shain
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Howard N. Gorney, Mary E. Bassett, John George Neylon
Hearing Site: Boston, MA
| | $0 |
| 19-00773 | 10/29/2019 | Claimant(s): Frank Congemi
Claimant Lawyers(s): Katie Lynn Zorc
Respondent(s): Barbara Nason
Respondent Lawyers(s): Barabara Nason
Arbitrator(s): Debra M. Brown, Ericka B. Gray, Howard N. Gorney
Hearing Site: Boston, MA
| | Expungement |
| 18-04192 | 08/12/2019 | Claimant(s): Kenneth Ebbe
Claimant Lawyers(s): John A. Mangones
Respondent(s): Donald Gunn, Richard Frueh, Leerink Partners LLC
Respondent Lawyers(s): Burton W. Wiand, David H. Jarvis, Lloyd S. Clareman
Arbitrator(s): Howard N. Gorney, Gene M. Bauer, Peter M Cosel
Hearing Site: Boston, MA
| | Dismissed by Rule 12206/12504 |
| 18-01405 | 02/26/2019 | Claimant(s): Estate of Richard Provost its Trustee
Claimant Lawyers(s): Michael A. Collora
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): David Ward
Arbitrator(s): Howard N. Gorney, Nadine Nasser Donovan, John Michael D'Amico
Hearing Site: Boston, MA
| | $115,780 |
| 17-01522 | 01/04/2018 | Claimant(s): Xiang Zhang
Claimant Lawyers(s): Xiang Zhang
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): T.R, Bynum
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | $38 |
| 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 |
