| 16-00301 | 09/01/2017 | Claimant(s): Kathryn Thatcher
Claimant Lawyers(s): Timothy J. Perry
Respondent(s): Charles Marvin, Morgan Stanley, Richard Hartnett
Respondent Lawyers(s): Lisa B. Dodge, Neil S. Baritz
Arbitrator(s): John Joseph Cotter, Joseph Charles Kennedy, Thomas Matthew Madden
Hearing Site: Boston, MA
|  | Expungement |
| 16-03096 | 08/22/2017 | Claimant(s): Stephen Dellelo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): New England Securities, Next Financial Group.
Respondent Lawyers(s): Eunice Jordan, John T. Unger
Arbitrator(s): Colette Manoil
Hearing Site: Boston, MA
| | |
| 17-00191 | 07/07/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): Timothy Gronewold
Respondent(s): Robert Edmunds
Respondent Lawyers(s): Robert Samuel Edmunds
Arbitrator(s): B. John Dill
Hearing Site: Boston, MA
| | |
| 16-02895 | 07/03/2017 | Claimant(s): Thomas Bryant
Claimant Lawyers(s): David Glod
Respondent(s): State Street Global Markets
Respondent Lawyers(s): Morgan C. Nighan
Arbitrator(s): Richard J. Grahn, Jeffrey P. Petrucelly, George Weston Mann
Hearing Site: Boston, MA
| | |
| 16-00135 | 06/15/2017 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): V. Justin Arpey
Respondent(s): Daniel Caso
Respondent Lawyers(s): AiVi Nguyen
Arbitrator(s): Edward Joseph Boudreau, Frank Sanclemente, Mary E. Bassett
Hearing Site: Boston, MA
| | |
| 16-03135 | 06/01/2017 | Claimant(s): Thomas Alessi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Quick & Reilly.
Respondent Lawyers(s): David I. Hantman, Kathryn D. Perreault
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
| | |
| 16-03242 | 05/25/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Richard Considine
Respondent Lawyers(s): Christopher T. Considine
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
| | |
| 16-00707 | 04/20/2017 | Claimant(s): Michael Lebner, Patricia Lebner
Claimant Lawyers(s): Adam Gana
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Ericka B. Gray, Denise L. Presley, Christopher William McHallam
Hearing Site: Boston, MA
| | Expungement |
| 15-00724 | 04/14/2017 | Claimant(s): Clifford Alexander, Jeanne Fisher
Claimant Lawyers(s): Clifford Alexander
Respondent(s): Cantella & Co..
Respondent Lawyers(s): Jay Lanstein
Arbitrator(s): Michael P. Anciello, Denise L. Presley, Joseph Samuel Berman
Hearing Site: Boston, MA
| | |
| 16-00246 | 04/04/2017 | Claimant(s): George Wood
Claimant Lawyers(s): Scott Fink
Respondent(s): Heather Weber, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Melinda S. Milberg, Denise L. Presley, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
