| 17-02061 | 05/16/2018 | Claimant(s): Paul Wong
Claimant Lawyers(s): David A. Genelly
Respondent(s): La Salle St. Securities, L.L.C.
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | |
| 17-00040 | 10/16/2017 | Claimant(s): Mark Soukup
Claimant Lawyers(s): Christopher P. Litterio
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | |
| 15-02574 | 06/09/2016 | Claimant(s): Michael Caprario
Claimant Lawyers(s): Michael Caprario
Respondent(s): Dain StokesL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
|  | Expungement |
| 14-03705 | 12/08/2015 | Claimant(s): Genevieve Lenehan
Claimant Lawyers(s): Robert Jutras
Respondent(s): Justin Amaral, Morgan Stanley
Respondent Lawyers(s): Amy McCallen, William Hohauser
Arbitrator(s): John A. Morin, Robert J. Ambrogi, Melinda S. Milberg
Hearing Site: Boston, MA
| | $1,058,600 |
| 14-00047 | 07/13/2015 | Claimant(s): Ann Clark, James Clark
Claimant Lawyers(s): James O. Clark
Respondent(s): Jovannie Aquino, National Securities Corporation, Michael O'callaghan
Respondent Lawyers(s): Jovannie Aquino, Thomas J. Walsh
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
| | $0 |
| 14-03406 | 06/04/2015 | Claimant(s): David Reiser, Robert Dicolo
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Providence, RI
| | |
| 12-00889 | 03/13/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Roger Coe
Respondent Lawyers(s): Scot Schneiderman
Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Joseph C. Tully
Hearing Site: Boston, MA
| | |
| 14-00012 | 02/09/2015 | Claimant(s): Hazielinda Ghazali-Cho
Claimant Lawyers(s): David Glod
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): John A. Goc, Robert J. Ambrogi, Melinda S. Milberg
Hearing Site: Boston, MA
| | |
| 13-01730 | 11/28/2014 | Claimant(s): Anna Sabatino
Claimant Lawyers(s): Evans J. Carter
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | $0 |
| 13-00845 | 05/01/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Timothy Lazcano
Respondent Lawyers(s): Jeremy L. Bartell
Arbitrator(s): John B. Kinsellagh, Robert J. Ambrogi, Michael L. Letendre
Hearing Site: Boston, MA
| | |
