| 18-00118 | 11/05/2021 | Claimant(s): Amy Hourigan, Glenn Hourigan, IRA FBO Amy R. Hourigan, IRA FBO Glenn K. Hourigan
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Robert Ginsberg, Cetera Advisors LLC, Investors Capital Corp., Ginsberg Financial Advising
Respondent Lawyers(s): Brian J. Palmeri, Kate Digeronimo
Arbitrator(s): Mae A. Brudner, Eileen Devaney Leo, Charles W. Danis
Hearing Site: Hartford, CT
|  | Stipulated Award |
| 20-00870 | 11/01/2021 | Claimant(s): Timothy Hourihan
Claimant Lawyers(s): Francis D. Dibble
Respondent(s): Dorene Mulholland, Voya Financial Partners, Voya Retirement Ins.and Annuity Co.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Jim Geiger, Mae A. Brudner, Franklin Sariel Schwerin
Hearing Site: Hartford, CT
| | |
| 18-01549 | 10/08/2019 | Claimant(s): Justina Manko
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Wells Fargo Advisors Financial Network, Thomas Gasbarre
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Catherine Stewart, Mae A. Brudner, Thomas M. Madden
Hearing Site: Hartford, CT
| | $0 |
| 18-00446 | 10/01/2019 | Claimant(s): FPJ Investments LLC, Estate of Frank Perrotti, Jr.
Claimant Lawyers(s): David A. Gehn
Respondent(s): David Riccio
Respondent Lawyers(s): David Michael Riccio
Arbitrator(s): Mae A. Brudner, Franklin Sariel Schwerin, Thomas M. Madden
Hearing Site: Hartford, CT
| | $1,300,000 |
| 17-03503 | 04/12/2019 | Claimant(s): Kobina Hagan
Claimant Lawyers(s): Kobina Gyesi Hagan
Respondent(s): Mark Eisenberg, Lantern Investments.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Steven T. Stern, Samuel H. Chorches, Mae A. Brudner
Hearing Site: Hartford, CT
| | |
| 16-01538 | 11/22/2017 | Claimant(s): Martha Simkovitz
Claimant Lawyers(s): Sabato P. Fiano
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Jeffrey Miller, Morgan Stanley & Co..
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Philip S. Walker, Mae A. Brudner, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | $209,775 |
| 16-00652 | 05/04/2017 | Claimant(s): Gary Masi
Claimant Lawyers(s): Adam Gana
Respondent(s): Longship Alternative Asset Management, Tradition Asiel Securities Inc.
Respondent Lawyers(s): Donald N. Cohen, Martin P. Unger
Arbitrator(s): Steven R. Rolnick, Sean Michael Peoples, Mae A. Brudner
Hearing Site: Hartford, CT
| | Dismissed by Rule 12504 |
| 13-02364 | 09/18/2015 | Claimant(s): Diane Willis
Claimant Lawyers(s): Diane Willis
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew E. Gelfand
Arbitrator(s): Kenneth J. Horowitz, Joseph H. Cerame, Mae A. Brudner
Hearing Site: Newark, NJ
| | $0 |
| 14-00505 | 05/12/2015 | Claimant(s): Susan Lubin
Claimant Lawyers(s): Susan Lubin
Respondent(s): William Coluccio, Middlebury Securities
Respondent Lawyers(s): Craig Sherman, Scott D. Stechman
Arbitrator(s): Edith M. Novack, Mae A. Brudner, Jay Alan Kranis
Hearing Site: Newark, NJ
| | $0 |
| 11-03960 | 07/15/2013 | Claimant(s): Marsha Sinzheimer
Claimant Lawyers(s): William Paul Nolan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Charles Kleinbaum, Michael H. DuBoff, Mae A. Brudner
Hearing Site: New York, NY
| | Expungement |
