| 09-00526 | 04/10/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Bert Gilbert
Respondent Lawyers(s): Bert J. Gilbert
Arbitrator(s): Stephen M. Acerra, Maxwell J. Mahoney, Dennis R. Surprenant
Hearing Site: Boston, MA
| | |
| 10-05205 | 04/17/2012 | Claimant(s): John Somers
Claimant Lawyers(s): Albert A DeNapoli
Respondent(s): John Sexton, Steven Rabinovici, William Moreno
Respondent Lawyers(s): Todd A Zuckerbrod, Todd A. Zuckerbrod
Arbitrator(s): Howard I. Wilgoren, Edward Aptaker, Maxwell J. Mahoney
Hearing Site: Boston, MA
|  | $0 |
| 09-06263 | 05/26/2011 | Claimant(s): Earle Ray
Claimant Lawyers(s): Joshua N. Cook
Respondent(s): Jeffrey Schrader, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Marissa Parker, Michael Kalmus
Arbitrator(s): Gerard S. Marsan, Maxwell J. Mahoney, Paul Peter Nicolai
Hearing Site: Boston, MA
| | Expungement |
| 09-06454 | 12/10/2010 | Claimant(s): Grand Circle LLC
Claimant Lawyers(s): Thomas J. Butters
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Michael T. McCormack
Arbitrator(s): Nancy E. Watters, Evalyn Lipton Fishbein, Maxwell J. Mahoney
Hearing Site: Boston, MA
| | $0 |
| 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 |
| 08-00836 | 02/04/2010 | Claimant(s): John Ligums, Mark Leventhal, Jelco.
Claimant Lawyers(s): Pete S. Michaels
Respondent(s): Donald Wojnowski, Empire Financial Group., JESUP & LAMONT SECURITIES CORP, Penson Financial Services.
Respondent Lawyers(s): Christina Tsesmelis, Maureen A. Ryan, Todd A. Zuckerbrod
Arbitrator(s): Howard I. Wilgoren, Jeffrey P. Petrucelly, Maxwell J. Mahoney
Hearing Site: Boston, MA
| | $0 |
| 07-00078 | 08/01/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Peter Dolan
Respondent Lawyers(s): Peter C. Dolan
Arbitrator(s): Dallas Whitney Coffman, Andrew Scott Rogovin, Maxwell J. Mahoney
Hearing Site: Boston, MA
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