| 18-01289 | 01/11/2019 | Claimant(s): Joseph Menice
Claimant Lawyers(s): Keith A. Macdonald
Respondent(s): James Moniz
Respondent Lawyers(s): Peter F. Flynn
Arbitrator(s): Richard J. Grahn, Barry J. Rubenstein, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
|  | $0 |
| 15-00096 | 03/28/2017 | Claimant(s): Paul Garber
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Adam Lynn, Zachary Bader
Respondent Lawyers(s): Adam Lynn, Zachary T. Bader
Arbitrator(s): Richard J. Grahn, Robert S. Hark, John Edward Sylvester
Hearing Site: Augusta, ME
| | $76,267 |
| 15-01328 | 11/11/2016 | Claimant(s): Ginger August, Mary August, Susan August-Brown, KC August Irrevocable Trust, Mary G. August Irrevocable Trust
Claimant Lawyers(s): Sigmund D. Schutz
Respondent(s): David Chambers, Ameriprise Financial Services., Luke Reinhard
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Richard J. Grahn, Karimu F. Hill-Harvey
Hearing Site: Augusta, ME
| | Expungement |
| 11-04815 | 08/22/2013 | Claimant(s): HITE Hedge Asset Management, HITE Hedge Offshore Ltd., HITE Hedge LP
Claimant Lawyers(s): Michael D. Ricciuti
Respondent(s): Jon Wessels, Sanders Morris Harris Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Richard J. Grahn, Edward Aptaker, Thomas J. Nash
Hearing Site: Boston, MA
| | $442,055 |
| 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 |
| 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 |
| 11-01830 | 02/27/2012 | Claimant(s): John C. Reppucci TTEE M&M Plans.
Claimant Lawyers(s): John E. Sutherland
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
| | $21,000 |
| 09-06801 | 10/28/2010 | Claimant(s): Charles LaBay, Patricia LaBay
Claimant Lawyers(s): Elliott L. Epstein
Respondent(s): Paul Ligor
Respondent Lawyers(s): Richard L. Barrett
Arbitrator(s): Richard J. Grahn, Thomas J. Donoghue, Michael Dell'Olio
Hearing Site: Augusta, ME
| | $1,000,000 |
| 09-04887 | 07/23/2010 | Claimant(s): James Shuel
Claimant Lawyers(s): Thomas H Tucker
Respondent(s): Wachovia Securities, Michael Ceccon
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): Richard J. Grahn, B. John Dill, Maxwell J. Mahoney
Hearing Site: Boston, MA
| | $39,000 |
| 06-03863 | 05/14/2008 | Claimant(s): Valerie Simmons
Claimant Lawyers(s): Michael J. Liston
Respondent(s): Capitol Securities & Associates.
Respondent Lawyers(s): Michael R. Christy
Arbitrator(s): Richard J. Grahn, Nancy E. Watters, John H. Foster
Hearing Site: Boston, MA
| | $103,500 |
