| 12-00799 | 12/19/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Walton
Respondent Lawyers(s): Thomas Xavier Walton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | |
| 12-01536 | 11/16/2012 | Claimant(s): Robert Baum
Claimant Lawyers(s): Howard Meyers
Respondent(s): Ian Green, IDayTrade Inc d/b/a Brokerageselect
Respondent Lawyers(s): Ian Joseph Green, Ian Jospeh Green
Arbitrator(s): Samuel H. Chorches
Hearing Site: Manchester, NH
|  | $0 |
| 11-04268 | 06/11/2012 | Claimant(s): Andrew Fogler
Claimant Lawyers(s): Edward W. Gasser
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | $325 |
| 10-01951 | 05/27/2011 | Claimant(s): Richard K. Lublin and Jane E. Lublin Rev
Claimant Lawyers(s): Edward R. Scofield
Respondent(s): Geoffrey Karp, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Burton Wayne Cox
Arbitrator(s): Samuel H. Chorches, Harvey Casher, Jack B. Golden
Hearing Site: Hartford, CT
| | Expungement |
| 10-00632 | 03/21/2011 | Claimant(s): Karen Kim
Claimant Lawyers(s): Karen H. Kim
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Gabriel L. Williams
Arbitrator(s): Dallas Whitney Coffman, Samuel H. Chorches, Francis J. Pavetti
Hearing Site: Hartford, CT
| | |
| 09-03449 | 09/27/2010 | Claimant(s): Richard & Janice Wolf
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Carl Cornaglia
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Dennis C. Cronin, Samuel H. Chorches, Jonathan Christian Byron
Hearing Site: New London, CT
| | $150 |
| 09-03920 | 07/26/2010 | Claimant(s): Frank Dottori
Claimant Lawyers(s): Timothy P Gunning
Respondent(s): Ameriprise Financial Services., Robert Lucarelli
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | $0 |
| 08-03472 | 03/09/2010 | Claimant(s): Paul Gauthier, Sharon Gauthier
Claimant Lawyers(s): Adam J. Gana
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Robert M. Brennan
Arbitrator(s): Elizabeth K. Norsworthy, Samuel H. Chorches, Peter Svorinic
Hearing Site: Manchester, NH
| | $0 |
| 07-02564 | 09/30/2009 | Claimant(s): TD Banknorth, N.A.
Claimant Lawyers(s): Thomas W. Witherington
Respondent(s): Jeffrey Davis, National Planning Corporation
Respondent Lawyers(s): Richard N. Freeth
Arbitrator(s): Samuel H. Chorches, Philip S. Wellman, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 08-01784 | 12/02/2008 | Claimant(s): Mark Blau
Claimant Lawyers(s): Mark Blau
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James Vihstadt
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | $0 |
