| 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
| | |
| 21-00133 | 10/22/2021 | Claimant(s): James Atwood
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): David Wertz Ellis
Hearing Site: Boston, MA
| | |
| 17-01489 | 02/14/2020 | Claimant(s): Alexander Martinelli, Christopher Herlihy, Jonathan Galli, Paul Connolly
Claimant Lawyers(s): Robert Miller
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Stephen M. Kramarsky
Arbitrator(s): David Wertz Ellis, John George Neylon, Charles R Markham
Hearing Site: Boston, MA
| | |
| 13-01248 | 08/08/2014 | Claimant(s): Nicholas Maloof
Claimant Lawyers(s): Matthew J. Tuttle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): David Ellis, Sandor I. Rabkin, John Francis Markuns
Hearing Site: Boston, MA
|  | Expungement |
| 12-04117 | 07/25/2014 | Claimant(s): Joel Haycock
Claimant Lawyers(s): Matthew J. Tuttle
Respondent(s): Detwiler Fenton & Co.
Respondent Lawyers(s): Warren D. Hutchison
Arbitrator(s): Ronald L. Cheney, David Ellis, Thomas C. Tretter
Hearing Site: Boston, MA
| | $952,560 |
| 12-01990 | 06/03/2014 | Claimant(s): Barbara Pennington, Michael Pennington, Barbara Pennington IRA, Michael Pennington IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): David Ellis, Ruth-Ellen Post, Frederick J. Myers
Hearing Site: Manchester, NH
| | Expungement |
| 12-00626 | 10/04/2013 | Claimant(s): Kathleen Wu
Claimant Lawyers(s): Thomas G. Shapiro
Respondent(s): Eric Gauster, Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Mary C. Kelleher, David Ellis, Andrea J. Goldman
Hearing Site: Boston, MA
| | $452,060 |
| 09-05049 | 05/26/2011 | Claimant(s): Fred Dinkin and Carol J. McKinnon
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Michael A. Balascio
Arbitrator(s): Mary C. Kelleher, David Ellis, Stephen Z. Frank
Hearing Site: Manchester, NH
| | $45,000 |
| 09-04310 | 10/21/2010 | Claimant(s): New England Securities, New England Life Insurance Company
Claimant Lawyers(s): Martin Harris
Respondent(s): James Archibald
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Robert H. Watts, David Ellis, Robert S. Rosenfeld
Hearing Site: Manchester, NH
| | |
| 09-05931 | 10/19/2010 | Claimant(s): Isabelle Chang
Claimant Lawyers(s): Stephen Z. Frank
Respondent(s): Troy McElreath, Advisory Group Equity Services Ltd.
Respondent Lawyers(s): Allen N. David
Arbitrator(s): David Ellis, Howard I. Wilgoren, Debra M. Brown
Hearing Site: Boston, MA
| | $121,030 |
