| 18-02462 | 01/09/2019 | Claimant(s): Adrienne Rowles
Claimant Lawyers(s): Adrienne Elizabeth Rowles
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Thomas W. Duffey, Paul Peter Nicolai, Michael Christopher Hildreth
Hearing Site: Boston, MA
| | |
| 17-01634 | 01/08/2019 | Claimant(s): Daniel Weil
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Stacey Lavender-Mayers, Trevor Saliba, NMS Capital Advisors., NMS Capital Securities
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Colette Manoil, Paul Gregory Smith, Arthur Thomas Carr
Hearing Site: Boston, MA
| | |
| 18-01800 | 01/02/2019 | Claimant(s): John Corbett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
| | |
| 18-00947 | 12/20/2018 | Claimant(s): Jeffrey Swett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rafael E. Rosario
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 18-00178 | 12/07/2018 | Claimant(s): Mary Mullin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 18-00170 | 12/03/2018 | Claimant(s): Gregory Chebuske
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): New England Securities
Respondent Lawyers(s): Eunice C. Jordan
Arbitrator(s): Denise L. Presley
Hearing Site: Boston, MA
| | |
| 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
| | |
| 18-00156 | 10/24/2018 | Claimant(s): Elizabeth Cleary
Claimant Lawyers(s): Michael Vigorito
Respondent(s): Berthel, Fisher & Company Financial Ser.
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): B. John Dill, Paul A. Auerbach, Peter Andrew Marx
Hearing Site: Boston, MA
| | $0 |
| 18-00557 | 10/22/2018 | Claimant(s): Charles Byrnes
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Joseph Charles Kennedy
Hearing Site: Boston, MA
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