| 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
| | |
| 17-00422 | 03/22/2018 | Claimant(s): Hui Liao
Claimant Lawyers(s): Hui Z. Liao
Respondent(s): Andrew Flessel, Matthew Fraser, Melanie Hart, Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Joshua D. Jones, Kevin W. Clancy
Arbitrator(s): Michael J. McNeil, Susan E. Maloney, Peter M Cosel
Hearing Site: Boston, MA
| | $0 |
| 13-03065 | 05/16/2014 | Claimant(s): Mary Jacobs
Claimant Lawyers(s): Mary Lou Jacobs
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Susan E. Maloney
Hearing Site: Augusta, ME
| | $213 |
| 13-03255 | 05/15/2014 | Claimant(s): Kirk Dravidzius
Claimant Lawyers(s): Kirk Dravidzius
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Susan E. Maloney
Hearing Site: Augusta, ME
| | $300 |
| 13-02643 | 03/13/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Matthew Kane
Respondent Lawyers(s): Matthew Kane
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 11-02351 | 06/07/2013 | Claimant(s): David Rome, Ellen Rome, as Trustee for the Pyle Rome, Warren H. Pyle, Ttee of Warren H Pyle
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Susan E. Maloney, Barry Joseph Fiske, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
| 12-00288 | 05/01/2013 | Claimant(s): Robert Fenyk
Claimant Lawyers(s): Norman E. Watts
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Ronald L. Cheney, Susan E. Maloney, Morton S. Bunis
Hearing Site: Boston, MA
| | |
| 11-04066 | 04/04/2013 | Claimant(s): Jagjiwan Merchia
Claimant Lawyers(s): Jagjiwan G. Merchia
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | $0 |
| 11-03871 | 02/26/2013 | Claimant(s): Howard Christian
Claimant Lawyers(s): Howard J. Christian
Respondent(s): Edward McBride, Gregg Libutti, Jeffrey Endicott, AIG Retirement Advisors., Valic Financial Advisors.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Robert J. Ambrogi, Edward Aptaker, Susan E. Maloney
Hearing Site: Boston, MA
| | $0 |
