| 12-02115 | 04/28/2015 | Claimant(s): CCO Investment Services Corp., RBS Citizens N.A.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Wells Fargo Advisors Financial Network, Della Hicks, James Oliver, James Venditti, Jamie Nowakowski, Jayme Lemaire
Respondent Lawyers(s): James Frederick Venditti, Thomas B. Lewis
Arbitrator(s): Richard Slavin, Lincoln W. Craighead, Charles Franklin Willson
Hearing Site: Hartford, CT
| | |
| 12-03214 | 09/16/2013 | Claimant(s): Prudential Annuities Distributors
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Eric J. Dec
Arbitrator(s): Richard Slavin, Alice Holly Oshins, James J. Gadarowski
Hearing Site: Hartford, CT
| | |
| 10-02944 | 11/10/2011 | Claimant(s): John Trani
Claimant Lawyers(s): Jeremy A. Mellitz
Respondent(s): Brad Zeisse, Michael Kramer, B. C. Ziegler and Company
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Richard Slavin, Lawrence S. Brick, Thomas J. Donoghue
Hearing Site: Hartford, CT
|  | $0 |
| 09-06605 | 12/03/2010 | Claimant(s): Agnes Brill, Robert Brill
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): People's Securities.
Respondent Lawyers(s): Steven J. Stafstrom
Arbitrator(s): Richard Slavin, Harry N. Mazadoorian
Hearing Site: Hartford, CT
| | $10,000 |
| 09-03445 | 12/03/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana H. Sur
Respondent(s): Duffy Worth
Respondent Lawyers(s): Duffy John Worth
Arbitrator(s): Richard Slavin
Hearing Site: Hartford, CT
| | |
| 07-01475 | 12/12/2007 | Claimant(s): Nina Marcuccio
Claimant Lawyers(s): Ted A. Marcuccio
Respondent(s): Delta Equity Services Corporation
Respondent Lawyers(s): Scott P. Aubrey
Arbitrator(s): Richard Slavin
Hearing Site: Hartford, CT
| | $2,175 |
