| 06-02927 | 06/30/2008 | Claimant(s): Brendan R. Donovan, IRA
Claimant Lawyers(s): Brendan R. Donovan
Respondent(s): Richard Patterson, Lehman Brothers Inc
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): John B. Haggerty, Nickolas F. Monteforte, Gene M. Bauer
Hearing Site: Boston, MA
|  | $0 |
| 07-02186 | 05/22/2008 | Claimant(s): Robert Kelliher
Claimant Lawyers(s): Robert F. Kelliher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Andrew H. Smith
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
