| 17-02572 | 04/12/2018 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Polese
Respondent Lawyers(s): James S Polese
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | |
| 17-02107 | 04/11/2018 | Claimant(s): Richard Bellew
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc., Moors & Cabot.
Respondent Lawyers(s): Jeremy S. Winer, Michael C. Fee
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
| | |
| 17-01983 | 03/29/2018 | Claimant(s): Regina Bernarduci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman, Jon D. Kaplon
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 17-00422 | 03/22/2018 | Claimant(s): Hui Liao
Claimant Lawyers(s): Hui Z. Liao
Respondent(s): Andrew Flessel, Matthew Fraser, Melanie Hart, Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Joshua D. Jones, Kevin W. Clancy
Arbitrator(s): Michael J. McNeil, Susan E. Maloney, Peter M Cosel
Hearing Site: Boston, MA
|  | $0 |
| 16-01590 | 01/30/2018 | Claimant(s): George Donnegan
Claimant Lawyers(s): Sean C. Flaherty
Respondent(s): Mike Emmanouilidis, Yiannis Emmanouilidis
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): William A. Barrett, John H. Henn, Gerard S. Marsan
Hearing Site: Boston, MA
| | Expungement |
| 17-01641 | 01/25/2018 | Claimant(s): Mark Soukup
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Joseph Charles Kennedy
Hearing Site: Boston, MA
| | |
| 16-03134 | 01/23/2018 | Claimant(s): Cheryle Brady
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): Brian Noyes, Ameriprise Financial Services.
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): Colette Manoil, Benjamin Willard Beck, David Summer
Hearing Site: Boston, MA
| | |
| 17-01522 | 01/04/2018 | Claimant(s): Xiang Zhang
Claimant Lawyers(s): Xiang Zhang
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): T.R, Bynum
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | $38 |
| 16-02084 | 12/22/2017 | Claimant(s): Giovanni Lanza, Mariantonia Lanza
Claimant Lawyers(s): Edwin L. Doernberger
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert Titus, Morton S. Bunis, Peter Andrew Marx
Hearing Site: Boston, MA
| | $0 |
| 17-01539 | 12/11/2017 | Claimant(s): Pamela Nottingham
Claimant Lawyers(s): Barry Y. Weiner
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): T.R. Byrnum
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
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