| 22-01942 | 04/09/2024 | Claimant(s): John Enderle, Marguerite Enderle, Nicholas Salerno
Claimant Lawyers(s): Joshua Kons
Respondent(s): Michael Dworetsky, Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Steven R. Rolnick, John J. Mager, Patrick Leo Kennedy
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206 |
| 22-02132 | 10/26/2023 | Claimant(s): Melvin Holson
Claimant Lawyers(s): Marc S. Gottlieb
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Roger Fox
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Judith C. Zerden, John J. Mager, Paul Smith Besson
Hearing Site: New York, NY
| | $0 |
| 18-00229 | 07/28/2022 | Claimant(s): Estate of Elaine Falcigno
Claimant Lawyers(s): Edmund Polubinski
Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Robert L. Chase, John J. Mager, April C. Teveris
Hearing Site: Hartford, CT
| | $0 |
| 21-00127 | 02/02/2022 | Claimant(s): Benjamin Bassi
Claimant Lawyers(s): David B. Vermont
Respondent(s): William Bradley
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): John J. Mager
Hearing Site: Manchester, NH
| | $0 |
| 17-03193 | 03/14/2019 | Claimant(s): Michael Potts
Claimant Lawyers(s): Bradley Schnur
Respondent(s): Michael Freeman, Legend Securities.
Respondent Lawyers(s): Michael Edgar Freeman, Salvatore C. Caruso
Arbitrator(s): John J. Mager
Hearing Site: Hartford, CT
| | $67,361 |
| 17-00797 | 08/01/2018 | Claimant(s): Dennis Magid
Claimant Lawyers(s): Ari J. Hoffman
Respondent(s): Wells Fargo Advisors, Lynn Grossman
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): John J. Mager, Morris James Busca, Lisa Joy Cappalli
Hearing Site: Hartford, CT
| | Expungement |
| 14-03854 | 11/05/2015 | Claimant(s): Arthur Wickett IRA, Arthur & Louise Wickett
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Patrick White, Steven Wanek, Blackbook Capital LLC
Respondent Lawyers(s): Charles M. O'Rourke, Franklin I. Ogele, Patrick Justin White
Arbitrator(s): John J. Mager
Hearing Site: Augusta, ME
| | $0 |
| 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 |
