| 11-04048 | 01/29/2015 | Claimant(s): Susan Lawshe
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Christopher Coppola, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
|  | $0 |
| 14-00509 | 08/21/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): David Lenahan
Respondent Lawyers(s): David Robert Lenahan
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | |
| 13-00671 | 07/29/2014 | Claimant(s): Paula Brainsky
Claimant Lawyers(s): Michael E. Levinson
Respondent(s): Ameriprise Financial Services., Whitney Cook
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | $675 |
| 13-02748 | 04/17/2014 | Claimant(s): Kenneth Smith
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | |
| 13-02827 | 04/09/2014 | Claimant(s): Bruce Jagolinzer
Claimant Lawyers(s): Bruce Martin Jagolinzer
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Samuel H. Chorches
Hearing Site: Augusta, ME
| | $25 |
| 13-01175 | 10/22/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C Fischer
Respondent(s): Richard Sexton
Respondent Lawyers(s): Richard Carl Sexton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Manchester, NH
| | |
| 12-02736 | 10/17/2013 | Claimant(s): Michael Kalen
Claimant Lawyers(s): Michael Kalen
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Samuel H. Chorches, Richard Hallett Nichol, Philip S. Walker
Hearing Site: Hartford, CT
| | $300 |
| 10-05642 | 09/04/2013 | Claimant(s): Adindu Nwachuku, Charter Oak Wealth Management Group LLCorate Retirement Group
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Curt Christensen, Eric Schulman, Thomas Colbert, ING Financial Partners.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Samuel H. Chorches, Kenneth Dymond, James J. Gadarowski
Hearing Site: Hartford, CT
| | |
| 09-05718 | 08/20/2013 | Claimant(s): Patrick Kennedy
Claimant Lawyers(s): Patrick Kennedy
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Samuel H. Chorches, Francis J. Pavetti, April C. Teveris
Hearing Site: Hartford, CT
| | $0 |
| 11-00303 | 06/03/2013 | Claimant(s): John Paul Rouleau & Margaret C. Rouleau
Claimant Lawyers(s): John F. Nicholls
Respondent(s): Wells Fargo Advisors, David Johns
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Samuel H. Chorches, Frank E. Wolf, Patrick W. McKeon
Hearing Site: Montpelier, VT
| | $0 |
