| 20-01369 | 12/09/2020 | Claimant(s): Lee Abrahamsen, Robert Abrahamsen, Robert Abrahamsen SER IRA
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Zachary Bader
Respondent Lawyers(s): Zachary T. Bader
Arbitrator(s): Catherine M. Gallagher
Hearing Site: Augusta, ME
|  | $132,986 |
| 19-03669 | 08/14/2020 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John McGuire
Respondent(s): David Hume
Respondent Lawyers(s): John E. Sutherland
Arbitrator(s): Catherine M. Gallagher
Hearing Site: Boston, MA
| | |
| 19-00433 | 02/25/2020 | Claimant(s): Barbara Dierolf, Margaret Ragozzino, Barbara K. Dierolf Trust, Ruth Kunin Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Robert Delbuono, Money Concepts Capital Corp
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Sean Michael Peoples, Paul Smith Besson, Catherine M. Gallagher
Hearing Site: Hartford, CT
| | Expungement |
| 18-00230 | 09/30/2019 | Claimant(s): David Falcigno
Claimant Lawyers(s): Edmund Polubinski
Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Robert R. Barker, Robert L. Chase, Catherine M. Gallagher
Hearing Site: Hartford, CT
| | $29,337 |
| 17-03210 | 04/26/2019 | Claimant(s): Tino Villanueva
Claimant Lawyers(s): Jared Febbroriello
Respondent(s): David Manor
Respondent Lawyers(s): David Manor
Arbitrator(s): Gene M. Bauer, Jeffrey Neil Fink, Catherine M. Gallagher
Hearing Site: Boston, MA
| | $0 |
| 17-01310 | 03/05/2018 | Claimant(s): Christopher Metcalf, Jeffrey Cole
Claimant Lawyers(s): David Erez Dobin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Marissa A. Santangelo, Edward W. Morris, Catherine M. Gallagher
Hearing Site: Hartford, CT
| | |
| 14-03528 | 07/26/2016 | Claimant(s): Kevin Hanna
Claimant Lawyers(s): Warren D. Hutchison
Respondent(s): Bradley Ross, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Sandor I. Rabkin, Catherine M. Gallagher, Thomas C. Tretter
Hearing Site: Boston, MA
| | $225,000 |
