| 11-01513 | 11/19/2012 | Claimant(s): Ronald Viola
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): William I. Carmen, Jane S. McMahon, Francis J. Pavetti
Hearing Site: Hartford, CT
|  | Expungement |
| 10-03334 | 10/12/2011 | Claimant(s): Alphonse Lucchese
Claimant Lawyers(s): Robert F. Dionisi
Respondent(s): Alfred Weaver, Citigroup Global Markets., Robert Malenfant, Citi Smith Barney
Respondent Lawyers(s): Compliance Officer, T. Peter R. Pound
Arbitrator(s): William I. Carmen
Hearing Site: Boston, MA
| | $0 |
| 09-06873 | 07/30/2010 | Claimant(s): James Cunningham
Claimant Lawyers(s): James Cunningham
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James D. Vannah
Arbitrator(s): William I. Carmen
Hearing Site: Boston, MA
| | $1,432 |
| 09-07045 | 06/24/2010 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Stern
Respondent Lawyers(s): David C. Stern
Arbitrator(s): William I. Carmen
Hearing Site: Providence, RI
| | |
| 07-03395 | 02/04/2009 | Claimant(s): Jean Nilsson
Claimant Lawyers(s): Paul Sabia
Respondent(s): Anthony Czarzasty, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lauryn J. Hart
Arbitrator(s): William I. Carmen
Hearing Site: Hartford, CT
| | Stipulated Award and Expungement |
| 07-01438 | 05/08/2008 | Claimant(s): Dale Croteau
Claimant Lawyers(s): Kevin G. Diamond
Respondent(s): Brian Martinsen, Michael Inghilterra, First Montauk Securities Corp.
Respondent Lawyers(s): Brian Keith Martinsen, Michael Joseph Inghilterra, Robert I. Rabinowitz
Arbitrator(s): David Love, William I. Carmen, Thomas J. Nash
Hearing Site: Boston, MA
| | $51,300 |
