| 15-00283 | 07/17/2017 | Claimant(s): Mark Farwell
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): LPL Financial LLC, Robert Kennedy, Spencer Lewis, Summer Pretzer, Thomas Estridge
Respondent Lawyers(s): David Baugh
Arbitrator(s): Rody P. Biggert, Laura M. Nelson, Michael Cotter Greenfield
Hearing Site: Chicago, IL
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| 09-01276 | 05/25/2011 | Claimant(s): Vito Vitone
Claimant Lawyers(s): William M. Kolb
Respondent(s): Ian Gerrior, Kevin Beaulieu, Richard Beaulieu, Signator Investors.
Respondent Lawyers(s): Michael J. Murphy, Sara E. Sweeney, Sheri L Pizzi
Arbitrator(s): B. J. Krintzman, Laura M. Nelson, Paul A. Auerbach
Hearing Site: Providence, RI
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| 07-01194 | 11/06/2008 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): David Fowler, Donna Furgal, Eric Wasson, NEXT Financial Group.
Respondent Lawyers(s): Ami Shah
Arbitrator(s): Marilyn H. Zuckerman, Laura M. Nelson, Alan Harry Roth
Hearing Site: Boston, MA
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| 07-01734 | 11/21/2007 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Gregg Iezza
Respondent Lawyers(s): Gregg Thomas Iezza
Arbitrator(s): Laura M. Nelson
Hearing Site: Boston, MA
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| 07-01622 | 09/20/2007 | Claimant(s): IFMG Securities., IFS AGencies., Independent Financial Marketing Group
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Michael Woodman
Respondent Lawyers(s): Gary C. Crossen
Arbitrator(s): Charles A. Goglia, Robert V. Deiana, Laura M. Nelson
Hearing Site: Boston, MA
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