| 15-02778 | 08/17/2016 | Claimant(s): James Ross
Claimant Lawyers(s): James E. Ross
Respondent(s): Edward Queenan, Guido Sarcione, New England Securities, Ronald Ware, Metlife Securities Inc., Valmark Securities., Wealth Impact Partners
Respondent Lawyers(s): Brian Palmeri, David L. Ward, Penelope Taylor
Arbitrator(s): Paul A. Auerbach
Hearing Site: Providence, RI
|  | $300 |
| 11-04126 | 05/31/2012 | Claimant(s): Howard Adkins
Claimant Lawyers(s): Howard M. Adkins
Respondent(s): David Wylie, Kenneth Nadeau, New England Securities
Respondent Lawyers(s): William Zeena
Arbitrator(s): Beverly S. Gordon
Hearing Site: Tampa, FL
| | $163 |
| 11-01417 | 01/04/2012 | Claimant(s): Michael Weigand, Richard LaValley
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Garry Payne, New England Securities, Signator Investors., Lincoln Financial Advisors Corporation, MML Investors Services
Respondent Lawyers(s): Janene M. Marasciullo, Linda H. Joseph, Michael G. Donovan, William P. Thornton
Arbitrator(s): Christopher C. Willett, Allan H. Kaminsky, Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
| 10-03323 | 10/14/2011 | Claimant(s): Kumar Desai, Subodh Desai
Claimant Lawyers(s): F. Homi Cooper
Respondent(s): New England Securities, Metlife Securities.
Respondent Lawyers(s): Mark J. Crandley
Arbitrator(s): Michael Nathanson, Raymond P. Buschmann, Jerome K. Rumps
Hearing Site: Chicago, IL
| | $0 |
| 09-00942 | 07/29/2009 | Claimant(s): Patricia Kubitzki
Claimant Lawyers(s): Patricia A. Kubitzki
Respondent(s): New England Securities, Timothy Mcdermott
Respondent Lawyers(s): B. John Pendleton, Christina Schmid
Arbitrator(s): James A. Hayes
Hearing Site: Kansas City, MO
| | $7,836 |
| 07-00440 | 03/13/2009 | Claimant(s): Clyde Crutcher
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): New England Securities
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Albert Shawe Watkins, Christopher J. Janson, David B. Lacks
Hearing Site: St. Louis, MO
| | $366,000 |
| 07-01815 | 04/28/2008 | Claimant(s): Larry Finkermeier
Claimant Lawyers(s): Jeffrey Kruske
Respondent(s): New England Securities
Respondent Lawyers(s): Peter J. Flanagan
Arbitrator(s): Donald B. Clark
Hearing Site: Kansas City, MO
| | $35,274 |
| 06-03501 | 12/04/2007 | Claimant(s): Elizabeth Greer
Claimant Lawyers(s): Romaine L. Gardner
Respondent(s): Judith Cassidy, New England Securities
Respondent Lawyers(s): Rapheal M. Rosenblatt
Arbitrator(s): Ernest Fanwick, Barnard Seligman, Renee La Verne Ross CFP
Hearing Site: New York, NY
| | $0 |
