| 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 |
| 16-00301 | 09/01/2017 | Claimant(s): Kathryn Thatcher
Claimant Lawyers(s): Timothy J. Perry
Respondent(s): Charles Marvin, Morgan Stanley, Richard Hartnett
Respondent Lawyers(s): Lisa B. Dodge, Neil S. Baritz
Arbitrator(s): John Joseph Cotter, Joseph Charles Kennedy, Thomas Matthew Madden
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 |
| 09-04798 | 05/07/2010 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): David Lu
Respondent Lawyers(s): David D. Lu
Arbitrator(s): Sandor I. Rabkin, John Joseph Cotter, Alicia J. Reines-Leo
Hearing Site: Boston, MA
| | $0 |
| 08-04177 | 12/15/2009 | Claimant(s): Henry Bendikian and Sheila Bendikian
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): June Y. Kilmarx, John Joseph Cotter, Michael Jay Rich
Hearing Site: Boston, MA
| | $0 |
| 07-03105 | 11/26/2008 | Claimant(s): Alvin McQuinn, Alvin E. McQuinn FLITE Trust
Claimant Lawyers(s): John Cotter, Mark J. Briol
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Lawrence J. Welte, Robert S. Burk, Daniel D. Hill
Hearing Site: Minneapolis, MN
| | $250,000 |
