| 15-01468 | 03/29/2017 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): V. Justin Arpey
Respondent(s): Matthew Grady
Respondent Lawyers(s): Matthew Grady
Arbitrator(s): William S. Tagerman, Colette Manoil, B. John Dill
Hearing Site: Boston, MA
| | |
| 15-03027 | 03/21/2017 | Claimant(s): Joseph Conlan
Claimant Lawyers(s): David Summer
Respondent(s): Louisa Quarto, Stephen Rokoszewski, William Dwyer
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
| | |
| 15-02083 | 02/01/2017 | Claimant(s): Paul Kaplan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): David Dyer, Alliance Affiliated Equities Corporation
Respondent Lawyers(s): David Freniere
Arbitrator(s): Sandor I. Rabkin, Byron Alexander Menides, Nickolas F. Monteforte
Hearing Site: Boston, MA
|  | $0 |
| 15-03347 | 01/23/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s): Jeffrey Gianelli
Respondent Lawyers(s): Jeffrey Joseph Gianelli
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
| | |
| 16-00170 | 12/19/2016 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): David G. Russell
Respondent(s): Terence Mullany
Respondent Lawyers(s): Michael J. Giarrusso
Arbitrator(s): Arthur J. Giacomarra, Benjamin Willard Beck, Joseph Samuel Berman
Hearing Site: Boston, MA
| | |
| 15-03037 | 12/09/2016 | Claimant(s): Silverwood Partners
Claimant Lawyers(s): Dana A. Zakarian
Respondent(s): Jonathan Hodson-Walker, Lisa Hodson-Walker, Michael Burgmaier, Nicolas Mccoy
Respondent Lawyers(s): Christopher F. Robertson, Dana A. Zakarian
Arbitrator(s): Gene M. Bauer, Sheryl R. Marshall, Joseph Samuel Berman
Hearing Site: Boston, MA
| | |
| 16-01134 | 11/01/2016 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Kay Oskvig
Respondent(s): Russell Sadler
Respondent Lawyers(s): Russell Leo Sadler
Arbitrator(s): Frank Sanclemente
Hearing Site: Boston, MA
| | |
| 16-00925 | 10/24/2016 | Claimant(s): Clotilda Ware, Eugene J. Ware
Claimant Lawyers(s): Eugene J. Ware
Respondent(s): Joseph Colell
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Frank Sanclemente
Hearing Site: Boston, MA
| | $325 |
| 16-00218 | 10/19/2016 | Claimant(s): Sophie Shen
Claimant Lawyers(s): Sanford F. Remz
Respondent(s): Christopher Moschella, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Amy Lampert, Gene M. Bauer, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
| 15-01935 | 10/10/2016 | Claimant(s): Newport Coast Securities.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Matthew Barrett
Respondent Lawyers(s): Matthew William Barrett
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
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