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FINRA Awards for Boston, MA

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Displaying 461-470 out of 479 results
Case Number Award Date Case Summary Customer Case? Amount Granted
06-0519901/18/2008Claimant(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
03-0646901/17/2008Claimant(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
Checkmark IconStipulated Award and Expungement
07-0017012/11/2007Claimant(s): Edward McDonald
Claimant Lawyers(s): Kevin G. Diamond
Respondent(s): Paul Hess, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Gerard S. Marsan, Joseph Charles Kennedy, Richard D. Levin
Hearing Site: Boston, MA
Checkmark Icon$0
07-0058211/27/2007Claimant(s): Laura Hammond, Michael Hammond, Sports Etc II. Profit Sharing
Claimant Lawyers(s): Michael F. Hammond
Respondent(s): David Sidwell, John Riley, Morgan Stanley DW Inc., Citigroup Global Markets
Respondent Lawyers(s): Raul Sanchez, Susan Poder MacFarlane
Arbitrator(s): Byron Alexander Menides, Edward Joseph Boudreau, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
Checkmark Icon$0
07-0000911/26/2007Claimant(s): Eric Gauster
Claimant Lawyers(s): Eric Robert Gauster
Respondent(s): Citigroup Global Markets., Martin Parquette, Michael Parker
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): June Y. Kilmarx, Edward Joseph Boudreau, Joseph Charles Kennedy
Hearing Site: Boston, MA
07-0173411/21/2007Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Gregg Iezza
Respondent Lawyers(s): Gregg Thomas Iezza
Arbitrator(s): Laura M. Nelson
Hearing Site: Boston, MA
04-0379211/20/2007Claimant(s): Vincent Zagami
Claimant Lawyers(s): Gerald A. Phelps
Respondent(s): Fredrick Sundin, William Dacey, Merit Capital Associates.
Respondent Lawyers(s): Kevin J. O'Connor, Philip M. Giordano, Robert Fitzpatrick
Arbitrator(s): Chesley Oriel, Leon E. Byng, Pran N. Tiku
Hearing Site: Boston, MA
Checkmark Icon$501
06-0253810/31/2007Claimant(s): Bernard McDaniel
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Daniel Fais, Kevin Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Timothy F. Shanahan
Hearing Site: Boston, MA
Checkmark IconStipulated Award and Expungement
05-0148810/26/2007Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Anthony DeMarco
Respondent Lawyers(s): Grover S. Parnell
Arbitrator(s): Sandor I. Rabkin, Allan E. Johnson
Hearing Site: Boston, MA
06-0529210/18/2007Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kennth O'Connor
Respondent(s): Eric Nelson
Respondent Lawyers(s): Eric A. Nelson
Arbitrator(s): John F. Poole, Thomas L. Kennedy, John Manning Herr
Hearing Site: Boston, MA

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