| 11-03406 | 04/26/2013 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Robert Quinn
Respondent Lawyers(s): Peter F. Carr
Arbitrator(s): Brian J. Dunn
Hearing Site: Boston, MA
| | |
| 10-00519 | 04/18/2013 | Claimant(s): Harriet L. and Michael S. Silverman
Claimant Lawyers(s): Michael G. Paris
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Sperlinga
Respondent Lawyers(s): Jennifer R. Seltenrich
Arbitrator(s): B. J. Krintzman, Michael L. Letendre, James R. Collins
Hearing Site: Boston, MA
|  | $82,357 |
| 09-00526 | 04/10/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Bert Gilbert
Respondent Lawyers(s): Bert J. Gilbert
Arbitrator(s): Stephen M. Acerra, Maxwell J. Mahoney, Dennis R. Surprenant
Hearing Site: Boston, MA
| | |
| 11-03020 | 04/10/2013 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): Optionsxpress., USAA Investment Management Company
Respondent Lawyers(s): Anthony L. Valenzuela, Theodore C. Schultz
Arbitrator(s): William I. Carmen, Jeffrey L. Frankel, Frank Sanclemente
Hearing Site: Boston, MA
| | $0 |
| 11-04066 | 04/04/2013 | Claimant(s): Jagjiwan Merchia
Claimant Lawyers(s): Jagjiwan G. Merchia
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | $0 |
| 12-03705 | 03/28/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): James R. Dyer
Respondent(s): Barbara Cantwell
Respondent Lawyers(s): Charles Kindregan
Arbitrator(s): June Y. Kilmarx, Charles A. Goglia, Richard D. Levin
Hearing Site: Boston, MA
| | |
| 11-03526 | 03/27/2013 | Claimant(s): Dr. John O. Buoni Rollover IRA
Claimant Lawyers(s): John Buoni
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Edward Aptaker
Hearing Site: Boston, MA
| | Expungement |
| 12-01861 | 03/07/2013 | Claimant(s): Rene Mamouzellos
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): James Rapuano
Respondent Lawyers(s): James Michael Rapuano
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | $22,599 |
| 11-03819 | 03/04/2013 | Claimant(s): Margaret Tomkiewicz, Estate of Walter J. Tomkiewicz, Walter J. Tomkiewicz Trust
Claimant Lawyers(s): Gary S. Matsko
Respondent(s): Jon Piwowarczyk
Respondent Lawyers(s): Jon Edward Piwowarczyk
Arbitrator(s): Colette Manoil, B. J. Krintzman, Gene M. Bauer
Hearing Site: Boston, MA
| | $445,861 |
| 11-04254 | 02/26/2013 | Claimant(s): John Keating
Claimant Lawyers(s): John Patrick Keating
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): Mary C. Kelleher, Brian J. Dunn, Michael L. Letendre
Hearing Site: Boston, MA
| | |
