| 14-03721 | 12/04/2015 | Claimant(s): Arthur Carr
Claimant Lawyers(s): Arthur T. Carr
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Bury
Arbitrator(s): James R. Collins, John Klinetob, Barbara-Ann Boehler
Hearing Site: Boston, MA
| | |
| 15-00419 | 12/02/2015 | Claimant(s): Gary Breda
Claimant Lawyers(s): Megan Christensen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Thomas C. Tretter, Joseph Peter Colonna, Phillip Alden Hofling
Hearing Site: Boston, MA
| | |
| 12-03270 | 11/25/2015 | Claimant(s): Leona Tigar, Michael Tigar, Tigar Refrigeration Co..
Claimant Lawyers(s): Stephen Wald
Respondent(s): UBS Financial Services Inc., UBS Global Asset Management (US) Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Chesley Oriel, Colette Manoil, Thomas C. Tretter
Hearing Site: Boston, MA
|  | $0 |
| 14-00959 | 11/09/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jeffrey Gianelli
Respondent Lawyers(s): Jeffrey J. Gianelli
Arbitrator(s): Nancy E. Watters
Hearing Site: Boston, MA
| | |
| 15-01988 | 10/29/2015 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Ben Djelassi, Morgan Stanley, Todd Mulligan
Respondent Lawyers(s): Joe Gehring, Jonathan A. Keselenko
Arbitrator(s): June Y. Kilmarx, B. John Dill, John Michael D'Amico
Hearing Site: Boston, MA
| | |
| 14-03809 | 10/23/2015 | Claimant(s): Sylvia Keyes, Sylvia Keyes IRA Rollover Account, TTEE
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): David Messaline, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Colette Manoil, Dennis M. Cronin, James R. Collins
Hearing Site: Boston, MA
| | $175,425 |
| 14-01942 | 10/21/2015 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Tom L. Peterson, Arnold M. Marrow, Susan Lauder Stewart
Hearing Site: Boston, MA
| | $0 |
| 06-01354 | 10/16/2015 | Claimant(s): Adele Simonds
Claimant Lawyers(s): Adele Simonds
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Jacqueline Marie Pierre, Howard N. Gorney, Steven S. Manos
Hearing Site: Boston, MA
| | $0 |
| 14-00458 | 10/01/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Whitney Floren
Respondent Lawyers(s): Elliot M. Sherman
Arbitrator(s): Arthur J. Giacomarra, Nadine Nasser Donovan, Michael Christopher Hildreth
Hearing Site: Boston, MA
| | |
| 13-01253 | 09/24/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Hilary O'Malley
Respondent Lawyers(s): Hilary O'Malley
Arbitrator(s): Thomas C. Tretter
Hearing Site: Boston, MA
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