| 19-02034 | 04/26/2022 | Claimant(s): Michael Arnheiter
Claimant Lawyers(s): Thomas N O'Connor
Respondent(s): Kenneth Kitchin, NYLife Securities LLC, New York Life Insurance Company, New York Life Insurance and Annuity Corp
Respondent Lawyers(s): Ralph T. Lepore, III
Arbitrator(s): Robert J. Ambrogi, Sharon L. Monroe, Joseph Edward Riley
Hearing Site: Boston, MA
|  | Expungement |
| 20-00622 | 04/12/2022 | Claimant(s): Joseph Denicola
Claimant Lawyers(s): Steven N. Fuller
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Robin H. Rome
Arbitrator(s): B. John Dill, Frank Sanclemente, George Weston Mann
Hearing Site: Boston, MA
| | |
| 21-02451 | 03/11/2022 | Claimant(s): Dimitrina Atanasova
Claimant Lawyers(s): Megan Christensen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Samuel S. Shaulson
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
| | |
| 20-00106 | 03/11/2022 | Claimant(s): Allan T. Schmaltz IRA
Claimant Lawyers(s): John E. Sutherland
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Andrea J. Goldman
Hearing Site: Boston, MA
| | $0 |
| 21-00562 | 02/18/2022 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Aime Dempsey
Respondent(s): Timothy Henry
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): B. John Dill, Daniel Lachar, John C Solomon
Hearing Site: Boston, MA
| | |
| 20-03416 | 02/01/2022 | Claimant(s): Melinda Whitman
Claimant Lawyers(s): William A. Haddad
Respondent(s): Morgan Stanley, Scott Swaylik
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s):
Hearing Site: Boston, MA
| | $150,000 |
| 21-00080 | 01/31/2022 | Claimant(s): John Boucher
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): David Weisberg, Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, David Weisberg, Jamie Worden
Arbitrator(s): Steven S. Manos
Hearing Site: Boston, MA
| | $0 |
| 20-02497 | 01/19/2022 | Claimant(s): Christopher Cowans
Claimant Lawyers(s): Seth I. Rubinson
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | |
| 20-02293 | 01/10/2022 | Claimant(s): Nermin Khalil
Claimant Lawyers(s): John A. Mangones
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): William A. Barrett, Gerard S. Marsan, George Weston Mann
Hearing Site: Boston, MA
| | |
| 20-02482 | 12/23/2021 | Claimant(s): Christopher Cowans
Claimant Lawyers(s): Seth I. Rubinson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): David Wertz Ellis
Hearing Site: Boston, MA
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