06-04399 | 05/21/2008 | Claimant(s): Daniel Dart Claimant Lawyers(s): Dan Driscoll Respondent(s): Pioneer Funds Distributor., Pioneer Investment Management USA., Pioneer Investment Management. Respondent Lawyers(s): Timothy P. Burke Arbitrator(s): S. Lawrence Gwin, John F. Poole, Edward Joseph Boudreau Hearing Site: Boston, MA
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06-03863 | 05/14/2008 | Claimant(s): Valerie Simmons Claimant Lawyers(s): Michael J. Liston Respondent(s): Capitol Securities & Associates. Respondent Lawyers(s): Michael R. Christy Arbitrator(s): Richard J. Grahn, Nancy E. Watters, John H. Foster Hearing Site: Boston, MA
| | $103,500 |
07-01438 | 05/08/2008 | Claimant(s): Dale Croteau Claimant Lawyers(s): Kevin G. Diamond Respondent(s): Brian Martinsen, Michael Inghilterra, First Montauk Securities Corp. Respondent Lawyers(s): Brian Keith Martinsen, Michael Joseph Inghilterra, Robert I. Rabinowitz Arbitrator(s): David Love, William I. Carmen, Thomas J. Nash Hearing Site: Boston, MA
| | $51,300 |
07-02850 | 05/06/2008 | Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Edward Walton Respondent(s): Jeffrey Bacon Respondent Lawyers(s): Jeffrey R. Bacon Arbitrator(s): Amy Lampert, Sharon L. Monroe, Daniel J. Candura Hearing Site: Boston, MA
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07-00898 | 04/24/2008 | Claimant(s): Matthew Ciaramella Claimant Lawyers(s): Matthew J. Ciaramella Respondent(s): Putnam Retail Management Ltd. Partners Respondent Lawyers(s): Jason S. Pinney Arbitrator(s): B. J. Krintzman Hearing Site: Boston, MA
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06-03305 | 03/14/2008 | Claimant(s): Barbara Drucker, William Drucker, William R. Drucker IRA Claimant Lawyers(s): Joshua N. Cook Respondent(s): Charlene Marant, Elizabeth Ferreira, EM Financial Solutions, Marant Enterprises Holdings LLC, Pershing Advisor Solutions Respondent Lawyers(s): Charlene Marant, Christina Davilas, Compliance Officer, Elizabeth Ferreira Arbitrator(s): Robert Titus, William I. Carmen, Stephen Z. Frank Hearing Site: Boston, MA
| | Settlement |
07-02691 | 02/26/2008 | Claimant(s): John Maisano Claimant Lawyers(s): John A. Maisano Respondent(s): Judson Potter, UBS Financial Services Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Jeffrey R. Martin Hearing Site: Boston, MA
| | $0 |
06-04325 | 02/06/2008 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Greg Simon Respondent(s): David Smith Respondent Lawyers(s): Jessica Block Arbitrator(s): Stephen M. Acerra, Zenon Charles Tencza, Jacqueline Marie Pierre Hearing Site: Boston, MA
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06-05199 | 01/18/2008 | Claimant(s): David Maurice, Lois Carrier Claimant Lawyers(s): Jeffrey B. Kelvin Respondent(s): LPL fka Linsco/Private Ledger Corp. Respondent Lawyers(s): David J. Freniere Arbitrator(s): Joan Stearns Johnsen, John A. Morin, B. John Dill Hearing Site: Boston, MA
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03-06469 | 01/17/2008 | Claimant(s): James A. Manganiello & Wanda Stevens Claimant Lawyers(s): Derek C. Anderson Respondent(s): Domenic Kalil, Morgan Stanley DW Inc. Respondent Lawyers(s): Thomas Briody Arbitrator(s): Howard I. Wilgoren, Sharon L. Monroe, Sylvia E. Green Hearing Site: Boston, MA
| | Stipulated Award and Expungement |