| 14-03648 | 05/13/2016 | Claimant(s): James Kenerson
Claimant Lawyers(s): Dan Druz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Evalyn Lipton Fishbein, Peter Andrew Marx, Jory E Berkwits
Hearing Site: Boston, MA
| | |
| 14-03494 | 05/05/2016 | Claimant(s): Russell Cable
Claimant Lawyers(s): Robert Aronson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): John A. Goc, Michael P. Anciello, Sylvia E. Green
Hearing Site: Boston, MA
|  | Expungement |
| 15-03439 | 05/02/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Jeff Thompson
Respondent Lawyers(s): Jeff D Thompson
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
| | |
| 15-03327 | 04/14/2016 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Richard Cody
Respondent Lawyers(s): Stephen Z. Frank
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | |
| 15-01898 | 03/18/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Daniel Moniz
Respondent Lawyers(s): Daniel J. Moniz
Arbitrator(s): Frank Sanclemente
Hearing Site: Boston, MA
| | |
| 15-00981 | 02/25/2016 | Claimant(s): Lawrence Genovesi
Claimant Lawyers(s): Michael R. Perry
Respondent(s): Carol Ball
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Gerard S. Marsan, Michael P. Anciello, Joseph Samuel Berman
Hearing Site: Boston, MA
| | $0 |
| 15-00161 | 02/01/2016 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Christopher Kennedy
Respondent Lawyers(s): Christopher Clarence Kennedy
Arbitrator(s): June Y. Kilmarx
Hearing Site: Boston, MA
| | |
| 14-00302 | 01/11/2016 | Claimant(s): Carlos Zarate
Claimant Lawyers(s): George W. Price
Respondent(s): Morgan Stanley, Michael Saidi
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): B. John Dill, James R. Collins, Mary E. Bassett
Hearing Site: Boston, MA
| | Expungement |
| 15-00385 | 12/18/2015 | Claimant(s): Kevin Sullivan
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Kevin Kelly, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Colette Manoil
Hearing Site: Boston, MA
| | |
| 14-03705 | 12/08/2015 | Claimant(s): Genevieve Lenehan
Claimant Lawyers(s): Robert Jutras
Respondent(s): Justin Amaral, Morgan Stanley
Respondent Lawyers(s): Amy McCallen, William Hohauser
Arbitrator(s): John A. Morin, Robert J. Ambrogi, Melinda S. Milberg
Hearing Site: Boston, MA
| | $1,058,600 |
