| 10-05642 | 09/04/2013 | Claimant(s): Adindu Nwachuku, Charter Oak Wealth Management Group LLCorate Retirement Group
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Curt Christensen, Eric Schulman, Thomas Colbert, ING Financial Partners.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Samuel H. Chorches, Kenneth Dymond, James J. Gadarowski
Hearing Site: Hartford, CT
| | |
| 11-04796 | 02/26/2013 | Claimant(s): Edwin Grimm
Claimant Lawyers(s): Birgitta K. Siegel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Kenneth Dymond
Hearing Site: Syracuse, NY
|  | Expungement |
| 10-03421 | 03/21/2012 | Claimant(s): John Koren
Claimant Lawyers(s): David Valicenti
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Barry Quint, Kenneth Dymond, Sheri J. Caplan
Hearing Site: Hartford, CT
| | $0 |
| 11-02582 | 02/10/2012 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly Davis
Respondent(s): Richard Pascucci
Respondent Lawyers(s): Richard Peter Pascucci
Arbitrator(s): Kenneth Dymond
Hearing Site: Buffalo, NY
| | |
| 11-01417 | 01/04/2012 | Claimant(s): Michael Weigand, Richard LaValley
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Garry Payne, New England Securities, Signator Investors., Lincoln Financial Advisors Corporation, MML Investors Services
Respondent Lawyers(s): Janene M. Marasciullo, Linda H. Joseph, Michael G. Donovan, William P. Thornton
Arbitrator(s): Christopher C. Willett, Allan H. Kaminsky, Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
| 08-01356 | 07/21/2010 | Claimant(s): Dorene Dorn
Claimant Lawyers(s): Dorene K. Dorn
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): John Richard Lynch, Kenneth Dymond, Brian F. Mumford
Hearing Site: Albany, NY
| | |
| 08-04273 | 03/25/2010 | Claimant(s): Helen Schabot
Claimant Lawyers(s): Richard L. Burstein
Respondent(s): Anne Whelan, Wachovia Securities
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Jay F. Donnaruma, William G. Binckes, Kenneth Dymond
Hearing Site: Albany, NY
| | Stipulated Award and Expungement |
| 09-01246 | 12/18/2009 | Claimant(s): Joseph Ventura
Claimant Lawyers(s): Wayne A. Smith
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Loren Schechter
Arbitrator(s): Frank E. Wolf, Kenneth Dymond, Alan V. Iselin
Hearing Site: Albany, NY
| | |
| 08-00893 | 05/06/2009 | Claimant(s): Donald Burnham, Jr., Kelly Burnham
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bruce Cramer
Arbitrator(s): Marc R. Green, Brian J. Burstin, Kenneth Dymond
Hearing Site: Albany, NY
| | $0 |
