| 19-02034 | 04/26/2022 | Claimant(s): Michael Arnheiter
Claimant Lawyers(s): Thomas N O'Connor
Respondent(s): Kenneth Kitchin, NYLife Securities LLC, New York Life Insurance Company, New York Life Insurance and Annuity Corp
Respondent Lawyers(s): Ralph T. Lepore, III
Arbitrator(s): Robert J. Ambrogi, Sharon L. Monroe, Joseph Edward Riley
Hearing Site: Boston, MA
|  | Expungement |
| 20-02497 | 01/19/2022 | Claimant(s): Christopher Cowans
Claimant Lawyers(s): Seth I. Rubinson
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | |
| 20-02772 | 10/01/2021 | Claimant(s): Kenneth Arellano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Syracuse, NY
| | |
| 20-02598 | 03/23/2021 | Claimant(s): Christopher Petrik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | |
| 20-02477 | 02/24/2021 | Claimant(s): Timothy Davis
Claimant Lawyers(s): Stephan Louviere
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | |
| 20-01980 | 01/25/2021 | Claimant(s): Paul Barry
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
| | |
| 19-02861 | 04/03/2020 | Claimant(s): Terence Hunt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | |
| 18-01989 | 01/18/2019 | Claimant(s): Mark Soukup
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | |
| 18-02237 | 11/07/2018 | Claimant(s): Darcy LaLonde
Claimant Lawyers(s): Darcy LaLonde
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Syracuse, NY
| | $163 |
| 17-03116 | 05/24/2018 | Claimant(s): Michael Chadwick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Andrea Shafer
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Syracuse, NY
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