| 15-00685 | 09/30/2016 | Claimant(s): Robert Martin
Claimant Lawyers(s): Bruce M. Towner
Respondent(s): NYLife Distributors LLC, New York Life Investment Management LLC
Respondent Lawyers(s): Hillary J. Massey
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
| | |
| 16-00164 | 09/27/2016 | Claimant(s): Timothy Davis
Claimant Lawyers(s): Deborah Gale Evans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Scott K. Shaw, Nickolas F. Monteforte, John Francis Markuns
Hearing Site: Boston, MA
| | |
| 16-00252 | 09/23/2016 | Claimant(s): Sharon Polk-Sadownik
Claimant Lawyers(s): Sharon Polk-Sadownik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
|  | $3,396 |
| 16-00171 | 08/18/2016 | Claimant(s): Edward Cohen, Judith Cohen
Claimant Lawyers(s): Edward Cohen
Respondent(s): Andrew Black, Daniel Digilio, TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Boston, MA
| | $0 |
| 14-03528 | 07/26/2016 | Claimant(s): Kevin Hanna
Claimant Lawyers(s): Warren D. Hutchison
Respondent(s): Bradley Ross, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Sandor I. Rabkin, Catherine M. Gallagher, Thomas C. Tretter
Hearing Site: Boston, MA
| | $225,000 |
| 15-03106 | 07/19/2016 | Claimant(s): Brendan Keohan
Claimant Lawyers(s): Brendan Keohan
Respondent(s): Fidelity Investments Institutional Srvcs
Respondent Lawyers(s): Lauren E. Ingoldsby
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Boston, MA
| | $0 |
| 15-02570 | 06/22/2016 | Claimant(s): Thaddeus Kabat
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Arthur Coffey
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): John J. Kenny
Hearing Site: Boston, MA
| | $300 |
| 15-03475 | 06/17/2016 | Claimant(s): Parshwa Shah
Claimant Lawyers(s): Parshwa D Shah
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ryan T. Barke
Arbitrator(s): Joseph Charles Kennedy
Hearing Site: Boston, MA
| | $213 |
| 15-02676 | 06/06/2016 | Claimant(s): McDaniel Family Trust
Claimant Lawyers(s): Janice April McDaniel
Respondent(s): Barry Armstrong, Brendan Hayes, Securities America., Paul Parsons, Susan Powers
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Paul A. Auerbach
Hearing Site: Boston, MA
| | Dismissed by Rule 12504 |
| 13-03478 | 05/25/2016 | Claimant(s): Kimberly Welsh
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): B. J. Krintzman, Xiomara Corral, Thomas Matthew Madden
Hearing Site: Boston, MA
| | |
