| 11-03441 | 08/01/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jameile Cawley
Respondent Lawyers(s): Edward Fergreus
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 11-04012 | 07/31/2012 | Claimant(s): Laila Assouassi
Claimant Lawyers(s): Laila Assouassi
Respondent(s): Trade Monster
Respondent Lawyers(s): Michael Albino
Arbitrator(s): John B. Kinsellagh
Hearing Site: Boston, MA
|  | $0 |
| 10-05715 | 07/09/2012 | Claimant(s): Janet Schmidt, MJN Construction, The Schmidt Family Trust
Claimant Lawyers(s): Eileen M. Donoghue
Respondent(s): UBS Financial Services Inc., Laurence Knowlton, Robert Cataldo
Respondent Lawyers(s): Jeffrey L. Friedman, Robert Anthony Cataldo
Arbitrator(s): Richard J. Grahn, William R Harding, Steven S. Manos
Hearing Site: Boston, MA
| | $809,500 |
| 11-02335 | 06/28/2012 | Claimant(s): J.P. Morgan Securities LLC
Claimant Lawyers(s): Eugene L. Small
Respondent(s): Keith Melanson
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Nancy E. Watters, Arthur Thomas Carr
Hearing Site: Boston, MA
| | |
| 11-01558 | 06/15/2012 | Claimant(s): Paul Stanford
Claimant Lawyers(s): Steven Rosenberg
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph E. Gehring
Arbitrator(s): Sandor I. Rabkin, James Dale Murphy, Lee McHarg Holland
Hearing Site: Boston, MA
| | |
| 11-04588 | 05/30/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Francis Lemieux
Respondent Lawyers(s): Francis Ephraim Lemieux
Arbitrator(s): Colette Manoil
Hearing Site: Boston, MA
| | |
| 10-01869 | 05/04/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Stephen Cote
Respondent Lawyers(s): Stephen M. Cote
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
| | |
| 10-04599 | 05/02/2012 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jeremy St. Jean
Respondent Lawyers(s): Peter F. Carr
Arbitrator(s): Nelson P. Lovins
Hearing Site: Boston, MA
| | |
| 11-02227 | 04/26/2012 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): William Munier
Respondent Lawyers(s): William Munier
Arbitrator(s): Tom L. Peterson
Hearing Site: Boston, MA
| | |
| 10-05258 | 04/25/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Scott Johnson
Respondent Lawyers(s): Scott Michael Johnson
Arbitrator(s): David I. Goldblatt
Hearing Site: Boston, MA
| | |
