| 09-04735 | 06/29/2011 | Claimant(s): Karl Hahn
Claimant Lawyers(s): Karl Edward Hahn
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Andrew T. Solomon
Arbitrator(s): Kelly M. Lonergan, Michael L. Letendre, Gene M. Bauer
Hearing Site: Boston, MA
| | |
| 10-02394 | 06/22/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): David Matthews
Respondent Lawyers(s): David Dimuccio Matthews
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
| | |
| 10-04844 | 06/08/2011 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Sean O'Brien
Respondent Lawyers(s): Sean M. O'Brien
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | |
| 09-06263 | 05/26/2011 | Claimant(s): Earle Ray
Claimant Lawyers(s): Joshua N. Cook
Respondent(s): Jeffrey Schrader, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Marissa Parker, Michael Kalmus
Arbitrator(s): Gerard S. Marsan, Maxwell J. Mahoney, Paul Peter Nicolai
Hearing Site: Boston, MA
|  | Expungement |
| 10-01204 | 05/06/2011 | Claimant(s): Alexandra Germano
Claimant Lawyers(s): Louis M. Ciavarra
Respondent(s): Jennifer Germano, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer Germano, John P. Bevilacqua
Arbitrator(s): Howard I. Wilgoren, Francis A. McGrail, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | Expungement |
| 10-04926 | 04/27/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Khairi Abdur-Rahman
Respondent Lawyers(s): Khairi Dwayne Abdur-Rahman
Arbitrator(s): Steven R. Rolnick
Hearing Site: Boston, MA
| | |
| 10-01049 | 04/20/2011 | Claimant(s): Steven Tamsett
Claimant Lawyers(s): Peter A. Lagorio
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael J McAllister
Arbitrator(s): Thomas H. Tucker, Gerald H. Powers, Robert J. Ambrogi
Hearing Site: Boston, MA
| | |
| 09-05485 | 03/29/2011 | Claimant(s): Turbo Investors
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Robert Jaffe
Respondent Lawyers(s): Harvey E. Bines
Arbitrator(s): John R. Thompson, Stephen M. Acerra, Nancy E. Watters
Hearing Site: Boston, MA
| | $1,105,000 |
| 10-04125 | 03/24/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Shawn Sullivan
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): David Love
Hearing Site: Boston, MA
| | |
| 09-01923 | 03/14/2011 | Claimant(s): Ben Joseph Trust (UA DTD 12/31/82, Epstein Real Estate Advisory Ret. Trust
Claimant Lawyers(s): Peter A. Lagorio
Respondent(s): Adam Gutman, E*Trade Securities LLC
Respondent Lawyers(s): Richard Michaud
Arbitrator(s): Pete S. Michaels, Arthur J. Giacomarra, Steven S. Manos
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
