| 23-01590 | 02/22/2024 | Claimant(s): D.A. Davidson & Co.
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Jason Barella
Respondent Lawyers(s): Jason Barella
Arbitrator(s): Gail Sillman
Hearing Site: Boston, MA
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| 23-02936 | 02/21/2024 | Claimant(s): Candida Bobonis Roig, Lizzette Bobonis Roig
Claimant Lawyers(s): David I. Hantman
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara L. Velez Santiago
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
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| 23-03022 | 02/13/2024 | Claimant(s): Daniel Sears
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
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| 23-02227 | 02/01/2024 | Claimant(s): Guy Angiuoni
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
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| 21-01930 | 12/22/2023 | Claimant(s): Phillip Parziale
Claimant Lawyers(s): William Haddad
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Amy M. McCallen
Arbitrator(s): Richard D. Levin, Gene M. Bauer, John George Neylon
Hearing Site: Boston, MA
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| 22-01351 | 12/18/2023 | Claimant(s): William Keeney
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Gene M. Bauer, William Robinson Driscoll, Stephen James McLaughlin
Hearing Site: Boston, MA
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| 21-00561 | 12/11/2023 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Alexander C.B. Barnard
Respondent(s): Daniel Caso
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Michael L. Letendre, Andrea J. Goldman, Stephen Polit
Hearing Site: Boston, MA
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| 23-02231 | 11/30/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michelle M. Wezner
Respondent(s): Jason Pirnie
Respondent Lawyers(s): Jason Pirnie
Arbitrator(s): Gail Sillman
Hearing Site: Boston, MA
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| 23-00998 | 11/27/2023 | Claimant(s): Krishnaa Ghosh
Claimant Lawyers(s): Katherine Skubecz
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Amy M. McCallen
Arbitrator(s): Arthur Lewis Pressman, Elise Frost Alair
Hearing Site: Boston, MA
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| 23-01612 | 11/07/2023 | Claimant(s): Adrienne Rowles
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Ameriprise Financial Services, Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff, Howard M. Klausmeier
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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