| 12-03532 | 10/21/2013 | Claimant(s): Harley Kaplan
Claimant Lawyers(s): Mehmet Baysan
Respondent(s): Compass Securities Corporation
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
| | |
| 12-00626 | 10/04/2013 | Claimant(s): Kathleen Wu
Claimant Lawyers(s): Thomas G. Shapiro
Respondent(s): Eric Gauster, Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Mary C. Kelleher, David Ellis, Andrea J. Goldman
Hearing Site: Boston, MA
|  | $452,060 |
| 13-00018 | 09/12/2013 | Claimant(s): Kevin Sullivan
Claimant Lawyers(s): Robert Nelson
Respondent(s): Douglas Evans, Stalwart Capital
Respondent Lawyers(s): Douglas Craig Evans
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
| | |
| 11-04815 | 08/22/2013 | Claimant(s): HITE Hedge Asset Management, HITE Hedge Offshore Ltd., HITE Hedge LP
Claimant Lawyers(s): Michael D. Ricciuti
Respondent(s): Jon Wessels, Sanders Morris Harris Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Richard J. Grahn, Edward Aptaker, Thomas J. Nash
Hearing Site: Boston, MA
| | $442,055 |
| 13-01077 | 08/20/2013 | Claimant(s): Francis Mcgrail, Stuart Williams
Claimant Lawyers(s): T. Peter R. Pound
Respondent(s): Jane Barron
Respondent Lawyers(s): Peter Pease
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | Expungement |
| 11-03987 | 08/14/2013 | Claimant(s): Cathleen Waugh, Christopher Waugh
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Gregory Friel, Russell Wasendorf
Respondent Lawyers(s): Richard Freeth, Russell R. Wasendorf
Arbitrator(s): Sandor I. Rabkin, Gene M. Bauer, Paul A. Auerbach
Hearing Site: Boston, MA
| | $70,000 |
| 08-03729 | 08/13/2013 | Claimant(s): Thomas Heller
Claimant Lawyers(s): Richard W. Kearney
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): B. J. Krintzman, Pamela E. Berman, John J. Kenny
Hearing Site: Boston, MA
| | |
| 13-00229 | 07/31/2013 | Claimant(s): Ronald Agel
Claimant Lawyers(s): Ronald Agel
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Ronald L. Cheney
Hearing Site: Boston, MA
| | $0 |
| 13-00772 | 07/24/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David W. Robinson
Respondent(s): Elissa Ward, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer A. Ermilio, Julia Green Sewruk
Arbitrator(s): Chesley Oriel
Hearing Site: Boston, MA
| | |
| 12-02638 | 07/15/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Daniel Regan
Respondent Lawyers(s): Daniel Charles Regan
Arbitrator(s): John J. Kenny
Hearing Site: Boston, MA
| | |
