| 12-01802 | 08/07/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Robert White
Respondent Lawyers(s): John E. Sutherland
Arbitrator(s): B. John Dill, David J. Kaufman, Carol Di Natale
Hearing Site: Boston, MA
| | |
| 14-00831 | 07/27/2015 | Claimant(s): Brian Fitzgerald
Claimant Lawyers(s): Frank N. Gaeta
Respondent(s): Curian Capital, Curian Clearing
Respondent Lawyers(s): Barry Temkin
Arbitrator(s): Howard M. Miller, Arnold M. Marrow, Xiomara Corral
Hearing Site: Boston, MA
| | |
| 14-02496 | 06/23/2015 | Claimant(s): Cheri Jewison, Ameriprise Financial Services.
Claimant Lawyers(s): Susan E. Sheely
Respondent(s): Alan Horowitz
Respondent Lawyers(s): Alan Horowitz
Arbitrator(s): Tom L. Peterson, Evalyn Lipton Fishbein, Barbara-Ann Boehler
Hearing Site: Boston, MA
| | Expungement |
| 13-00203 | 06/19/2015 | Claimant(s): Eloise Clawson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Chesley Oriel, John B. Kinsellagh, Gene M. Bauer
Hearing Site: Boston, MA
|  | $0 |
| 12-03796 | 06/18/2015 | Claimant(s): Mary Mahoney, James & Delores Caggiano
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Tom L. Peterson, William R Harding, Gene M. Bauer
Hearing Site: Boston, MA
| | $0 |
| 14-01552 | 06/08/2015 | Claimant(s): Cindy-Marie Rogers
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Joan Norton, Ausdal Financial Partners.
Respondent Lawyers(s): Jeffrey S. McAllister
Arbitrator(s): Patricia Gatto Hechavarria, Jeffrey P. Petrucelly, Lisette C. Smith
Hearing Site: Boston, MA
| | $1,250,800 |
| 14-01380 | 06/05/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Tom L. Peterson
Hearing Site: Boston, MA
| | |
| 13-01897 | 05/29/2015 | Claimant(s): Leerink Swann LLC
Claimant Lawyers(s): Peter A. Brown
Respondent(s): Scott Price
Respondent Lawyers(s): Peter R. Pendergast
Arbitrator(s): John B. Kinsellagh
Hearing Site: Boston, MA
| | |
| 13-03767 | 05/11/2015 | Claimant(s): Michael Bruck, MBB Trust
Claimant Lawyers(s): Michael Bruck
Respondent(s): Craig Lewis, Morgan Stanley, Peter Grave
Respondent Lawyers(s): Tabitha Bartholomew
Arbitrator(s): Jeffrey P. Petrucelly, James R. Collins, John J. Kenny
Hearing Site: Boston, MA
| | $253,402 |
| 09-06725 | 04/16/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Allen Adams
Arbitrator(s): Mary C. Kelleher, Missy Daboul Margolis, Sharon L. Monroe
Hearing Site: Boston, MA
| | |
