| 19-01223 | 11/26/2019 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Kenneth Klaiman
Respondent Lawyers(s): Kenneth Scott Klaiman
Arbitrator(s): Arthur J. Giacomarra
Hearing Site: Boston, MA
| | |
| 19-01309 | 11/13/2019 | Claimant(s): Regina Bernarduci
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Denise L. Presley
Hearing Site: Boston, MA
| | |
| 16-00653 | 11/08/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Adams
Arbitrator(s): Steven S. Manos
Hearing Site: Boston, MA
| | |
| 19-00773 | 10/29/2019 | Claimant(s): Frank Congemi
Claimant Lawyers(s): Katie Lynn Zorc
Respondent(s): Barbara Nason
Respondent Lawyers(s): Barabara Nason
Arbitrator(s): Debra M. Brown, Ericka B. Gray, Howard N. Gorney
Hearing Site: Boston, MA
|  | Expungement |
| 18-01216 | 10/03/2019 | Claimant(s): Peter Weiner
Claimant Lawyers(s): Michael J. Tuteur
Respondent(s): State Street Global Markets
Respondent Lawyers(s): Morgan C. Nighan
Arbitrator(s): William A. Barrett, Frank Sanclemente, Dennis E. Nelson
Hearing Site: Boston, MA
| | |
| 18-04192 | 08/12/2019 | Claimant(s): Kenneth Ebbe
Claimant Lawyers(s): John A. Mangones
Respondent(s): Donald Gunn, Richard Frueh, Leerink Partners LLC
Respondent Lawyers(s): Burton W. Wiand, David H. Jarvis, Lloyd S. Clareman
Arbitrator(s): Howard N. Gorney, Gene M. Bauer, Peter M Cosel
Hearing Site: Boston, MA
| | Dismissed by Rule 12206/12504 |
| 18-03991 | 07/30/2019 | Claimant(s): Michael Abramo
Claimant Lawyers(s): N. Nancy Ghabai, Esq.
Respondent(s): LPL Financial LLC, UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Anthony J. Borrelli, David I. Hantman, Esq., Jon D. Kaplon
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
| | |
| 18-03296 | 06/19/2019 | Claimant(s): Natasha Lessard
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Gerard Belfort
Arbitrator(s): Peter M Cosel
Hearing Site: Boston, MA
| | |
| 18-04005 | 05/08/2019 | Claimant(s): Radha Govindrajan
Claimant Lawyers(s): Radha Govindrajan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith A. Faro
Arbitrator(s): Linda J. Baer
Hearing Site: Boston, MA
| | $0 |
| 17-03210 | 04/26/2019 | Claimant(s): Tino Villanueva
Claimant Lawyers(s): Jared Febbroriello
Respondent(s): David Manor
Respondent Lawyers(s): David Manor
Arbitrator(s): Gene M. Bauer, Jeffrey Neil Fink, Catherine M. Gallagher
Hearing Site: Boston, MA
| | $0 |
