| 23-01612 | 11/07/2023 | Claimant(s): Adrienne Rowles
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Ameriprise Financial Services, Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff, Howard M. Klausmeier
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 23-01239 | 10/02/2023 | Claimant(s): DawnMarie Corneau
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 17-03324 | 12/13/2019 | Claimant(s): Ilir Hasani, Ivana Vanacova, Gresa USA LLC (Hasani & Vanacova)
Claimant Lawyers(s): Lee Holland
Respondent(s): Matthew Warshaw, Merrill Lynch Pierce Fenner & Smith Inc., Michael Wasserman
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Ronald L. Cheney, Susan E. Maloney, Denise L. Presley
Hearing Site: Boston, MA
|  | $0 |
| 18-02410 | 01/25/2019 | Claimant(s): Andrew Zimmerman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 18-00947 | 12/20/2018 | Claimant(s): Jeffrey Swett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rafael E. Rosario
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 18-00178 | 12/07/2018 | Claimant(s): Mary Mullin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 17-01671 | 10/12/2018 | Claimant(s): Margaret Lee, Robert Lee
Claimant Lawyers(s): Daniel J. Dwyer
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Peter J. Dale, Gerard S. Marsan, Susan E. Maloney
Hearing Site: Boston, MA
| | $34,537 |
| 17-03416 | 07/06/2018 | Claimant(s): Brian MacKinnon, Timothy MacKinnon
Claimant Lawyers(s): Kenneth E. Meister
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Michael P. Anciello, Susan E. Maloney, Patrick W. McKeon
Hearing Site: Boston, MA
| | |
| 18-00056 | 06/12/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D Berg
Respondent(s): Jared Azriel
Respondent Lawyers(s): Jared Azriel
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | $0 |
| 17-01983 | 03/29/2018 | Claimant(s): Regina Bernarduci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman, Jon D. Kaplon
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
