| 14-00325 | 04/16/2015 | Claimant(s): Leon Wirtenberg
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christian D. Johnson
Arbitrator(s): B. J. Krintzman, Susan Largay, John J. Kenny
Hearing Site: Boston, MA
|  | Expungement |
| 12-00889 | 03/13/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Roger Coe
Respondent Lawyers(s): Scot Schneiderman
Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Joseph C. Tully
Hearing Site: Boston, MA
| | |
| 14-03181 | 03/02/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Joseph Jayne
Respondent Lawyers(s): Joseph Jayne
Arbitrator(s): Mary C. Kelleher
Hearing Site: Boston, MA
| | |
| 13-03113 | 02/26/2015 | Claimant(s): Peter Cushing
Claimant Lawyers(s): Todd Zuckerbrod
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Ericka B. Gray, Nickolas F. Monteforte, Jennifer Goodreau Gonzalez
Hearing Site: Boston, MA
| | |
| 14-02179 | 02/18/2015 | Claimant(s): Paul William Stiehl and Patricia Stiehl
Claimant Lawyers(s): Paul Stiehl
Respondent(s): Wells Fargo Advisors, Leland Cary
Respondent Lawyers(s): Leland Cary, Thomas F. Kopshever
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
| | $0 |
| 12-01038 | 02/09/2015 | Claimant(s): Mark Soukup
Claimant Lawyers(s): Richard M. Gelb
Respondent(s): Regina Bolvin, Bolvin Wealth Management Group.
Respondent Lawyers(s): William Bernarduci
Arbitrator(s): Sandor I. Rabkin, Michael L. Letendre, Susan Largay
Hearing Site: Boston, MA
| | |
| 14-00012 | 02/09/2015 | Claimant(s): Hazielinda Ghazali-Cho
Claimant Lawyers(s): David Glod
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): John A. Goc, Robert J. Ambrogi, Melinda S. Milberg
Hearing Site: Boston, MA
| | |
| 14-01570 | 12/10/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Sheetal Parikh
Respondent(s): Brendan Frank
Respondent Lawyers(s): Brendan Perry Frank
Arbitrator(s): Peter J. Dale
Hearing Site: Boston, MA
| | |
| 13-02776 | 12/02/2014 | Claimant(s): Pamela Mok, M.D. Roller IRA, M.D. SEP IRA, Paul Wood, Paul Wood and Pamela Mok
Claimant Lawyers(s): Paul A. Wood
Respondent(s): UBS Financial Services Inc., Maxwell Bardeen, Wyatt Larsen
Respondent Lawyers(s): Michael Torres
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | $0 |
| 13-01730 | 11/28/2014 | Claimant(s): Anna Sabatino
Claimant Lawyers(s): Evans J. Carter
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | $0 |
