| 22-00673 | 04/04/2023 | Claimant(s): The Fengler Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Evalyn Lipton Fishbein, David S Godkin, Ira Sperling
Hearing Site: Boston, MA
|  | Expungement |
| 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 |
| 16-00252 | 09/23/2016 | Claimant(s): Sharon Polk-Sadownik
Claimant Lawyers(s): Sharon Polk-Sadownik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $3,396 |
| 14-03648 | 05/13/2016 | Claimant(s): James Kenerson
Claimant Lawyers(s): Dan Druz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Evalyn Lipton Fishbein, Peter Andrew Marx, Jory E Berkwits
Hearing Site: Boston, MA
| | |
| 14-02496 | 06/23/2015 | Claimant(s): Cheri Jewison, Ameriprise Financial Services.
Claimant Lawyers(s): Susan E. Sheely
Respondent(s): Alan Horowitz
Respondent Lawyers(s): Alan Horowitz
Arbitrator(s): Tom L. Peterson, Evalyn Lipton Fishbein, Barbara-Ann Boehler
Hearing Site: Boston, MA
| | Expungement |
| 13-02842 | 10/28/2014 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Chesley Oriel, Zenon Charles Tencza, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 10-04834 | 07/05/2012 | Claimant(s): Tushar Patel
Claimant Lawyers(s): Elisa M. Pollard
Respondent(s): optionsXpress.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Arnold M. Marrow, Evalyn Lipton Fishbein, Christine R. Fitzgerald
Hearing Site: Providence, RI
| | $0 |
| 11-02061 | 03/23/2012 | Claimant(s): Denis Thibeault, Paul Torti
Claimant Lawyers(s): Denis Emery Thibeault, Paul J. Torti
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): Missy Daboul Margolis, John Manning Herr, Evalyn Lipton Fishbein
Hearing Site: Providence, RI
| | |
| 10-00059 | 08/03/2011 | Claimant(s): Stamatis Astras
Claimant Lawyers(s): Robert Bertsch
Respondent(s): Mercer Capital Ltd.
Respondent Lawyers(s): Lynn G. Schultz
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 10-04844 | 06/08/2011 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Sean O'Brien
Respondent Lawyers(s): Sean M. O'Brien
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | |
