| 15-00685 | 09/30/2016 | Claimant(s): Robert Martin
Claimant Lawyers(s): Bruce M. Towner
Respondent(s): NYLife Distributors LLC, New York Life Investment Management LLC
Respondent Lawyers(s): Hillary J. Massey
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
| | |
| 14-00302 | 01/11/2016 | Claimant(s): Carlos Zarate
Claimant Lawyers(s): George W. Price
Respondent(s): Morgan Stanley, Michael Saidi
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): B. John Dill, James R. Collins, Mary E. Bassett
Hearing Site: Boston, MA
|  | Expungement |
| 14-03721 | 12/04/2015 | Claimant(s): Arthur Carr
Claimant Lawyers(s): Arthur T. Carr
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Bury
Arbitrator(s): James R. Collins, John Klinetob, Barbara-Ann Boehler
Hearing Site: Boston, MA
| | |
| 14-03809 | 10/23/2015 | Claimant(s): Sylvia Keyes, Sylvia Keyes IRA Rollover Account, TTEE
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): David Messaline, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Colette Manoil, Dennis M. Cronin, James R. Collins
Hearing Site: Boston, MA
| | $175,425 |
| 13-03767 | 05/11/2015 | Claimant(s): Michael Bruck, MBB Trust
Claimant Lawyers(s): Michael Bruck
Respondent(s): Craig Lewis, Morgan Stanley, Peter Grave
Respondent Lawyers(s): Tabitha Bartholomew
Arbitrator(s): Jeffrey P. Petrucelly, James R. Collins, John J. Kenny
Hearing Site: Boston, MA
| | $253,402 |
| 13-03724 | 10/22/2014 | Claimant(s): Morgan Stanley Smith Barney FA Notes, Morgan Stanley Smith Barney
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Richard Vietze
Respondent Lawyers(s): Richard Vietze
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
| | |
| 12-02619 | 08/22/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Dowd
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Kelly M. Lonergan, Michael L. Letendre, James R. Collins
Hearing Site: Boston, MA
| | |
| 13-00739 | 11/14/2013 | Claimant(s): Michael Frawley
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): David M. Belcher
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
| | |
| 10-00519 | 04/18/2013 | Claimant(s): Harriet L. and Michael S. Silverman
Claimant Lawyers(s): Michael G. Paris
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Sperlinga
Respondent Lawyers(s): Jennifer R. Seltenrich
Arbitrator(s): B. J. Krintzman, Michael L. Letendre, James R. Collins
Hearing Site: Boston, MA
| | $82,357 |
| 10-04306 | 01/23/2012 | Claimant(s): Candace Roderick, Kayla Ann Roderick Trust, Olive M. Larwrence Trust
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Mary C. Kelleher, Christine Armstrong, James R. Collins
Hearing Site: Boston, MA
| | Expungement |
