| 12-00628 | 01/24/2013 | Claimant(s): Gail Jefferson IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): LPL Financial LLC, Paul Fitzpatrick
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): John A. Morin, Nickolas F. Monteforte, Susan E. Maloney
Hearing Site: Boston, MA
|  | Expungement |
| 10-05141 | 11/14/2012 | Claimant(s): Eugene Regnier, Leona Regnier
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | $0 |
| 11-04150 | 09/19/2012 | Claimant(s): Frederick Blanchard
Claimant Lawyers(s): John T. Martin
Respondent(s): Bostonia Global Securities
Respondent Lawyers(s): Joseph P. Lombardo
Arbitrator(s): Chesley Oriel, Dennis M. Cronin, Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 11-02687 | 08/22/2012 | Claimant(s): Nancy Potter, Nancy L. Potter IRA, Donna M. Wilson,Trustee Potter Family
Claimant Lawyers(s): Bradley A. Singer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Chesley Oriel, John B. Kinsellagh, Susan E. Maloney
Hearing Site: Boston, MA
| | $50,000 |
| 11-03441 | 08/01/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jameile Cawley
Respondent Lawyers(s): Edward Fergreus
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 09-02800 | 01/20/2012 | Claimant(s): James Minchello, Martha Sullivan, Robert Minchello
Claimant Lawyers(s): Peter R. Pendergast
Respondent(s): Citigroup Global Markets., Citigroup.
Respondent Lawyers(s): Michele A. Coffey
Arbitrator(s): Jack A. Marshall, Susan E. Maloney, Joseph Charles Kennedy
Hearing Site: Boston, MA
| | |
| 10-04005 | 02/25/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jim Van Dyke
Respondent(s): Silas Atsalis
Respondent Lawyers(s): Thomas H. Tucker
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 09-00381 | 01/26/2011 | Claimant(s): Thomas Meyer
Claimant Lawyers(s): Thomas J. Meyer
Respondent(s): Christopher Bingham, Jean-Michel Robiou, E*Trade Securities LLC, Michael Steinrich
Respondent Lawyers(s): Craig A. Saunders, Meredith A. Felde
Arbitrator(s): Peter Svorinic, Susan E. Maloney, Frank E. Wolf
Hearing Site: Manchester, NH
| | Expungement |
| 10-02015 | 01/19/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Peter Seibert
Respondent Lawyers(s): Steven Rosenberg
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 09-02156 | 07/22/2010 | Claimant(s): Jon Dame and Nancy Powlowsky - JTWROS
Claimant Lawyers(s): Sean T. Carnathan
Respondent(s): J Maxwell, Oppenheimer & Co..
Respondent Lawyers(s): Deborah L. Thaxter, Matthew T. McLaughlin
Arbitrator(s): Susan E. Maloney, Andrew Wayne Wunsch, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
