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FINRA Awards for Boston, MA

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Displaying 171-180 out of 478 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0096911/27/2017Claimant(s): John Mixon
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Colette Manoil
Hearing Site: Boston, MA
Checkmark IconExpungement
17-0015911/07/2017Claimant(s): Michael Labrie
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Henry Lesburt, Jeannine Lesburt
Respondent Lawyers(s): Henry P. Lesburt
Arbitrator(s): Ronald L. Cheney, Frank Sanclemente, Merriann Panarella
Hearing Site: Boston, MA
Expungement
17-0123511/07/2017Claimant(s): James Moniz
Claimant Lawyers(s): Peter F. Flynn
Respondent(s): Essex Securities LLC
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Arthur J. Giacomarra
Hearing Site: Boston, MA
16-0309010/31/2017Claimant(s): Allen Waters
Claimant Lawyers(s): Allen Rodney Waters
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Cora E. MacLean
Arbitrator(s): Thomas C. Tretter, Andrea J. Goldman, James R. Collins
Hearing Site: Boston, MA
17-0109310/31/2017Claimant(s): Heidi Hanson
Claimant Lawyers(s): Thomas N. O'Connor
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Denise L. Presley, Abigail Falcon-Rosa
Hearing Site: Boston, MA
Expungement
15-0130410/31/2017Claimant(s): Richard Kosinski
Claimant Lawyers(s): Stephen J. Rodman
Respondent(s): Deutsche Bank Securities., Daniel Ryan, Eric Philippi
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Ericka B. Gray, James R. Collins, Merriann Panarella
Hearing Site: Boston, MA
Checkmark Icon$0
17-0098210/30/2017Claimant(s): Harvey Boshart, James Fagan
Claimant Lawyers(s): Eugene Small
Respondent(s): Frederick Kobrick
Respondent Lawyers(s): Frederick Kobrick
Arbitrator(s): Richard J. Grahn, Frederick J. Myers, Arthur Thomas Carr
Hearing Site: Boston, MA
Expungement
17-0004010/16/2017Claimant(s): Mark Soukup
Claimant Lawyers(s): Christopher P. Litterio
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
17-0107110/11/2017Claimant(s): Gregory McDonough
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Ronald L. Cheney, Stephen M. Acerra, Sandor I. Rabkin
Hearing Site: Boston, MA
16-0288909/28/2017Claimant(s): Christopher Stoddard
Claimant Lawyers(s): Dochtor D. Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA

478 Results

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