| 13-03478 | 05/25/2016 | Claimant(s): Kimberly Welsh
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): B. J. Krintzman, Xiomara Corral, Thomas Matthew Madden
Hearing Site: Boston, MA
| | |
| 13-02069 | 05/01/2015 | Claimant(s): James Briggs, Louisa Briggs
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Brent Porges, Craig Taddonio, David Cannata, David Locy, Brookstone Securities., Craig Scott Capital
Respondent Lawyers(s): Harry Delagrammatikas, William M. Dolan
Arbitrator(s): Timothy F. Shanahan, John Francis Markuns, B. J. Krintzman
Hearing Site: Providence, RI
|  | $438,454 |
| 14-00325 | 04/16/2015 | Claimant(s): Leon Wirtenberg
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christian D. Johnson
Arbitrator(s): B. J. Krintzman, Susan Largay, John J. Kenny
Hearing Site: Boston, MA
| | Expungement |
| 13-03451 | 11/04/2014 | Claimant(s): Terry Bennett, Terry C. and Terry M. Bennett Trust
Claimant Lawyers(s): Michael C. Harvell
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Cliff G. Anderson
Arbitrator(s): B. J. Krintzman, Peter Andrew Marx, Dennis James Malloy
Hearing Site: Manchester, NH
| | $0 |
| 13-02640 | 10/28/2014 | Claimant(s): Robert Branscombe
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Ronald L. Cheney, B. J. Krintzman, Philip S. Wellman
Hearing Site: Manchester, NH
| | Expungement |
| 10-04182 | 02/26/2014 | Claimant(s): Brian Fitol, David Evans, Theresa Fitol
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Frank Lee, Sean Nesto
Respondent Lawyers(s): Frank Robert Lee, Sean Patrick Nesto
Arbitrator(s): B. J. Krintzman, Philip S. Wellman, Philip S. Walker
Hearing Site: Hartford, CT
| | $2,640 |
| 13-00018 | 09/12/2013 | Claimant(s): Kevin Sullivan
Claimant Lawyers(s): Robert Nelson
Respondent(s): Douglas Evans, Stalwart Capital
Respondent Lawyers(s): Douglas Craig Evans
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
| | |
| 08-03729 | 08/13/2013 | Claimant(s): Thomas Heller
Claimant Lawyers(s): Richard W. Kearney
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): B. J. Krintzman, Pamela E. Berman, John J. Kenny
Hearing Site: Boston, MA
| | |
| 10-02178 | 05/21/2013 | Claimant(s): John Freund
Claimant Lawyers(s): Daniel S. Tarlow
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc., Morgan Stanley Smith Barney Holdings, LL
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): B. J. Krintzman, Norman Foxman, John J. Mager
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 |
