23-01612 | 11/07/2023 | Claimant(s): Adrienne Rowles Claimant Lawyers(s): Stephan Louviere Respondent(s): Ameriprise Financial Services, Wells Fargo Clearing Services Respondent Lawyers(s): Deirdre Wolff, Howard M. Klausmeier Arbitrator(s): Susan E. Maloney Hearing Site: Boston, MA
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22-01908 | 11/06/2023 | Claimant(s): Janice Mecca, Laurence Brown, Robert Mecca, Brown Family Maintenance Trust, Brown Revocable Trust, Donald M Brown Income Provider Trust Claimant Lawyers(s): Scott L. Silver Respondent(s): Ages Financial Services, Ltd. Respondent Lawyers(s): Kirsten Patzer Arbitrator(s): Andrea J. Goldman, Peter M Cosel, Stephen James McLaughlin Hearing Site: Boston, MA
| | $246,114 |
20-01625 | 10/17/2023 | Claimant(s): Prakash Shukla Claimant Lawyers(s): Michael J. Sullivan Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jason A. Kempf Arbitrator(s): Stephen M. Acerra, Denise L. Presley, Jeremy M. Bloomenthal Hearing Site: Boston, MA
| | Expungement |
23-01239 | 10/02/2023 | Claimant(s): DawnMarie Corneau Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Susan E. Maloney Hearing Site: Boston, MA
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21-02855 | 08/30/2023 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Scott A. La Porta Respondent(s): Jeffrey McHale Respondent Lawyers(s): Steven N. Fuller Arbitrator(s): Hearing Site: Boston, MA
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22-01989 | 08/03/2023 | Claimant(s): Tastyworks. Claimant Lawyers(s): Thomas G. Haskins Respondent(s): Tin Tran Respondent Lawyers(s): Tin Tran Arbitrator(s): Arthur J. Giacomarra, Michael Jay Rich, Frank Sanclemente Hearing Site: Boston, MA
| | $204,742 |
23-00661 | 07/31/2023 | Claimant(s): Elizabeth Ferreri Claimant Lawyers(s): Ronald A. Zamansky Respondent(s): John Hancock Investment Management Distr Respondent Lawyers(s): David J. Freniere Arbitrator(s): B. John Dill Hearing Site: Boston, MA
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22-01674 | 07/26/2023 | Claimant(s): Carolyn Catlin, Stephen Wintermeier, Fenway Financial Advisors Claimant Lawyers(s): David J. Freniere Respondent(s): Ashleigh Swayze, Swayze LLC Respondent Lawyers(s): John E. MacDonald Arbitrator(s): Mary E. Bassett, Linda Luke Lee, Marjorie Ann Butler Hearing Site: Boston, MA
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19-02012 | 07/18/2023 | Claimant(s): Mai Y. Hanlon Revocable Trust Claimant Lawyers(s): Edward H. Glenn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kuan Huang Arbitrator(s): William A. Barrett, Michael P. Breton, Frank Sanclemente Hearing Site: Boston, MA
| | $0 |
22-02735 | 07/13/2023 | Claimant(s): Ally Invest Securities LLC Claimant Lawyers(s): Daniel S. Newman Respondent(s): Tin Tran Respondent Lawyers(s): Tin Trung Tran Arbitrator(s): Andrea J. Goldman, Gene M. Bauer, Edward Wallack Hearing Site: Boston, MA
| | $149,389 |