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FINRA Awards for Boston, MA

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Displaying 10 out of 479 results
Case Number Award Date Case Summary Customer Case? Amount Granted
24-0208511/26/2024Claimant(s): Mitchell Riesenberger
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Kenneth R. Starr, Kenneth W. Gosliner, Catherine Esther Bocskor
Hearing Site: Boston, MA
23-0323110/21/2024Claimant(s): Anita Marchesani, Colleen Stremel, Douglas Hodczak, Frank Marchesani, Lauren LaPlante-Rottman IRA, Scotty Beevers
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): John Pisapia, Chelsea Financial Services
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Denise L. Presley, Gene M. Bauer, John George Neylon
Hearing Site: Boston, MA
Checkmark IconDismissed by Rule 12206(a)
23-0359409/26/2024Claimant(s): Santo Dimino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Stephen James McLaughlin
Hearing Site: Boston, MA
23-0285008/07/2024Claimant(s): Neil Collins
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Jeffrey P. Petrucelly
Hearing Site: Boston, MA
23-0280906/25/2024Claimant(s): James Desrocher
Claimant Lawyers(s): Brian Luther
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Thomas Drogan
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
23-0277106/07/2024Claimant(s): Kent Fitzpatrick
Claimant Lawyers(s): Brian Luther
Respondent(s): NFP Securities.
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Stephen James McLaughlin
Hearing Site: Boston, MA
23-0361406/03/2024Claimant(s): NYLife Securities LLC, New York Life Insurance Company
Claimant Lawyers(s): Christopher J. Murdoch
Respondent(s): Brian Chicas
Respondent Lawyers(s): Brian Ariel Chicas
Arbitrator(s): B. John Dill
Hearing Site: Boston, MA
21-0208605/07/2024Claimant(s): Gerry Reardon
Claimant Lawyers(s): Robert Loventhal
Respondent(s): Glen Dowden, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton, William A. Haddad
Arbitrator(s): Howard N. Gorney, Stewart John Smith
Hearing Site: Boston, MA
Checkmark IconExpungement
23-0017004/16/2024Claimant(s): David Pogorelc
Claimant Lawyers(s): Christopher J. Major
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Andrew J. Melnick
Arbitrator(s): Howard N. Gorney, Jeff Spears, Stephen James McLaughlin
Hearing Site: Boston, MA
Checkmark Icon$0
23-0293703/25/2024Claimant(s): Candida Bobonis Roig, Dario Ochoa Garcia, Franco Fullana, Lizzette Bobonis Roig
Claimant Lawyers(s): David I. Hantman
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara L. Velez Santiago
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA

479 Results

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