| 14-02179 | 02/18/2015 | Claimant(s): Paul William Stiehl and Patricia Stiehl
Claimant Lawyers(s): Paul Stiehl
Respondent(s): Wells Fargo Advisors, Leland Cary
Respondent Lawyers(s): Leland Cary, Thomas F. Kopshever
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
|  | $0 |
| 12-02880 | 05/20/2014 | Claimant(s): Betsy Sachs, Brooke Sachs
Claimant Lawyers(s): Matthew J. Tuttle
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Gerard S. Marsan, Jeffrey G. Sommers, Carol Di Natale
Hearing Site: Boston, MA
| | $35,821 |
| 10-02710 | 07/07/2011 | Claimant(s): Michael O'Connor
Claimant Lawyers(s): Michael O'Connor
Respondent(s): Noel Fleming
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
| | $0 |
| 09-06118 | 07/05/2011 | Claimant(s): Diane LeBoeuf
Claimant Lawyers(s): Fred S. Clark
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Philip Weber
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Gerard S. Marsan
Hearing Site: Providence, RI
| | Stipulated Award and Expungement |
| 09-06263 | 05/26/2011 | Claimant(s): Earle Ray
Claimant Lawyers(s): Joshua N. Cook
Respondent(s): Jeffrey Schrader, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Marissa Parker, Michael Kalmus
Arbitrator(s): Gerard S. Marsan, Maxwell J. Mahoney, Paul Peter Nicolai
Hearing Site: Boston, MA
| | Expungement |
| 09-06861 | 02/25/2011 | Claimant(s): Deborah Dee
Claimant Lawyers(s): David J. Paliotti
Respondent(s): Banc of America Investment Services Inc., Nicholas Cafaro, Patrick Sands
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Robert H. Watts, Gerard S. Marsan, Marilyn H. Zuckerman
Hearing Site: Boston, MA
| | Expungement |
| 09-01066 | 05/07/2010 | Claimant(s): Peabody House Company Partnership
Claimant Lawyers(s): Kevin S. Murphy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Gerard S. Marsan, June Y. Kilmarx, Pran N. Tiku
Hearing Site: Boston, MA
| | $0 |
| 07-00170 | 12/11/2007 | Claimant(s): Edward McDonald
Claimant Lawyers(s): Kevin G. Diamond
Respondent(s): Paul Hess, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Gerard S. Marsan, Joseph Charles Kennedy, Richard D. Levin
Hearing Site: Boston, MA
| | $0 |
