| 22-01662 | 12/13/2023 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Bernard J. Kornberg
Respondent(s): Brian Dunn
Respondent Lawyers(s): Joshua Norton
Arbitrator(s): Edward Turner Borer, Louis H Miron, Peter H. Goldberg
Hearing Site: Wilmington, DE
| | |
| 11-04177 | 07/12/2013 | Claimant(s): Joseph Calabrese
Claimant Lawyers(s): Jenny L. Margeson
Respondent(s): Phillip Cheney, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Brian J. Dunn, James Alden Lincoln, Steven S. Manos
Hearing Site: Boston, MA
|  | Expungement |
| 11-04254 | 02/26/2013 | Claimant(s): John Keating
Claimant Lawyers(s): John Patrick Keating
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): Mary C. Kelleher, Brian J. Dunn, Michael L. Letendre
Hearing Site: Boston, MA
| | |
| 11-02181 | 10/11/2012 | Claimant(s): Frank Mazer, Samuel Elliot Pendelton Mazer, Cus & Tru, Frank B. Mazer Foundation, by Frank Maze
Claimant Lawyers(s): Gaytri Kachroo
Respondent(s): UBS Financial Services Inc., Michael Collins
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): John A. Morin, Kevin J Mulrey, Brian J. Dunn
Hearing Site: Boston, MA
| | $0 |
| 09-05813 | 10/25/2011 | Claimant(s): Robert Hall and Helen Hall
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Timothy Kelly
Respondent Lawyers(s): Timothy Llewellyn Kelly
Arbitrator(s): Brian J. Dunn, Jack B. Golden, Mary Elizabeth Satran
Hearing Site: Hartford, CT
| | $89,250 |
| 10-03378 | 10/18/2011 | Claimant(s): Estate of Deborah L. Stein
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brady J. Hermann
Arbitrator(s): Brian J. Dunn, David J. Kaufman, James Alden Lincoln
Hearing Site: Boston, MA
| | $0 |
| 10-01483 | 08/17/2011 | Claimant(s): Marc G. Gaudreau IRA, Wendy L. Story IRA, Beers & Story 401K TTEE W Story & M Gaud
Claimant Lawyers(s): Bart W. Heemskerk
Respondent(s): Andrew Beaudry
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Brian J. Dunn, Philip S. Walker, Michael D. Grant
Hearing Site: Hartford, CT
| | $0 |
| 07-03322 | 10/05/2009 | Claimant(s): Brenda K. Gaidmore, IRA, Gerald P. Gaidmore
Claimant Lawyers(s): Gerald P. Gaidmore
Respondent(s): A.G. Edwards & Sons., Paul Bedinger, Richard Iannacone
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Brian J. Dunn, Michael Dell'Olio, Joseph Charles Kennedy
Hearing Site: Manchester, NH
| | $0 |
| 05-04806 | 02/13/2008 | Claimant(s): Richard Maclennan
Claimant Lawyers(s): Jeffrey M. Sklarz
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Robert A. Buhlman
Arbitrator(s): Jane S. McMahon, William C. Freitag, Brian J. Dunn
Hearing Site: Hartford, CT
| | |
