| 19-01432 | 03/23/2020 | Claimant(s): Ann DeQuattro
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Gregory Dudzik, Steven Pitassi, Janney Montgomery Scott LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): James R. Collins, Karen Kupersmith, Nicholas Trott Long
Hearing Site: Providence, RI
|  | $125,000 |
| 18-03771 | 01/03/2020 | Claimant(s): Randall Gale
Claimant Lawyers(s): Jeffrey S. Eisenberg
Respondent(s): Geoffrey Garratt
Respondent Lawyers(s): Geoffrey Garratt
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
| | $75,023 |
| 17-02035 | 11/20/2018 | Claimant(s): Kenneth Ebbe
Claimant Lawyers(s): Blake Godbout
Respondent(s): Jill Cody, Richard Cody, Concorde Investment Services, Westminster Financial Advisory Corp., Westminster Financial Securities.
Respondent Lawyers(s): Gerry J. Kowalski, Jill M. Cody, Joseph S. Simms, Richard Grant Cody
Arbitrator(s): James R. Collins, Christine R. Fitzgerald, Mary E. Bassett
Hearing Site: Boston, MA
| | $286,096 |
| 18-00888 | 11/13/2018 | Claimant(s): Alexander Sugar
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Morgan Stanley, J.P. Morgan Securities
Respondent Lawyers(s): Joseph A. Sack, Thomas J. Cahill
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
| | |
| 18-00077 | 06/26/2018 | Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Michael Durgin
Respondent Lawyers(s): Michael Patrick Durgin
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
| | |
| 17-02039 | 05/17/2018 | Claimant(s): William Kelly
Claimant Lawyers(s): David Freniere
Respondent(s): Voya Financial Partners
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): James R. Collins, Michael Jay Rich, Paul A. Auerbach
Hearing Site: Boston, MA
| | |
| 16-03090 | 10/31/2017 | Claimant(s): Allen Waters
Claimant Lawyers(s): Allen Rodney Waters
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Cora E. MacLean
Arbitrator(s): Thomas C. Tretter, Andrea J. Goldman, James R. Collins
Hearing Site: Boston, MA
| | |
| 15-01304 | 10/31/2017 | Claimant(s): Richard Kosinski
Claimant Lawyers(s): Stephen J. Rodman
Respondent(s): Deutsche Bank Securities., Daniel Ryan, Eric Philippi
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Ericka B. Gray, James R. Collins, Merriann Panarella
Hearing Site: Boston, MA
| | $0 |
| 16-01277 | 08/16/2017 | Claimant(s): R. B. Corbin, Jr. Trust
Claimant Lawyers(s): Richard B. Corbin
Respondent(s): Wells Fargo Advisors, Maiya Furgason
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Steven R. Rolnick, James R. Collins, Thomas Matthew Madden
Hearing Site: Providence, RI
| | $0 |
| 16-03135 | 06/01/2017 | Claimant(s): Thomas Alessi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Quick & Reilly.
Respondent Lawyers(s): David I. Hantman, Kathryn D. Perreault
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
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