| 23-00909 | 02/27/2024 | Claimant(s): Dennis Karjanis
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Sean Alan D'Amico, Jud Perkins, David Stein
Hearing Site: Hartford, CT
| | |
| 20-00043 | 07/13/2022 | Claimant(s): Stephen DesRochers
Claimant Lawyers(s): Leonard B. Rose
Respondent(s): UBS Financial Services Inc., UBS Credit Corp
Respondent Lawyers(s): Michael F. Braun
Arbitrator(s): Sean Alan D'Amico, David Adams Reif, James Bromley Bragg
Hearing Site: Hartford, CT
| | |
| 20-02832 | 08/11/2021 | Claimant(s): Douglas Miller
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): William E, Hopkins
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 20-03814 | 07/16/2021 | Claimant(s): Thomas Keidel
Claimant Lawyers(s): Thomas Keidel
Respondent(s): David Lerner Associates., Patrick Perugino
Respondent Lawyers(s): Joseph C. Pickard, Patrick A. Perugino
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
|  | $6,428 |
| 20-00872 | 01/07/2021 | Claimant(s): John Beloin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 18-00938 | 09/28/2018 | Claimant(s): William Warner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 16-03260 | 02/16/2018 | Claimant(s): Brandon Marinelli, Meagan Donahue
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Michael J. McNeil, John M. Dasher, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 16-01538 | 11/22/2017 | Claimant(s): Martha Simkovitz
Claimant Lawyers(s): Sabato P. Fiano
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Jeffrey Miller, Morgan Stanley & Co..
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Philip S. Walker, Mae A. Brudner, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | $209,775 |
| 16-01211 | 05/02/2017 | Claimant(s): Sid Ironson
Claimant Lawyers(s): Sid Ironson
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Dale S. Cronnell, Sean Michael Peoples, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 12-00832 | 03/10/2017 | Claimant(s): Estate of Gilmay C. Dube
Claimant Lawyers(s): Thomas P. Willcutts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
| | $0 |
