| 18-00118 | 11/05/2021 | Claimant(s): Amy Hourigan, Glenn Hourigan, IRA FBO Amy R. Hourigan, IRA FBO Glenn K. Hourigan
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Robert Ginsberg, Cetera Advisors LLC, Investors Capital Corp., Ginsberg Financial Advising
Respondent Lawyers(s): Brian J. Palmeri, Kate Digeronimo
Arbitrator(s): Mae A. Brudner, Eileen Devaney Leo, Charles W. Danis
Hearing Site: Hartford, CT
|  | Stipulated Award |
| 18-01327 | 09/26/2018 | Claimant(s): Janet Zupkus
Claimant Lawyers(s): Janet B Zupkus
Respondent(s): Cambridge Investment Research., John Pronovost
Respondent Lawyers(s): Carolyn Browne, James Kopecky
Arbitrator(s): Charles W. Danis
Hearing Site: Hartford, CT
| | $41,570 |
| 17-01008 | 04/19/2018 | Claimant(s): Cat Trail Capital LLC
Claimant Lawyers(s): Ira Belsky
Respondent(s): Mark Martino, Axiom Capital Management.
Respondent Lawyers(s): Mark J. Hyland
Arbitrator(s): Paul Smith Besson, Charles W. Danis, James Rosenblum
Hearing Site: Hartford, CT
| | $0 |
| 12-01721 | 04/20/2015 | Claimant(s): Ronald Delmonico, Ronald G. Delmonico, IRA
Claimant Lawyers(s): Vito C. DeMaio
Respondent(s): Anastasios Belesis, Ronald Cantalupo, John Thomas Financial
Respondent Lawyers(s): Anastasios Belesis, Maria Cummings, Ronald Vincent Cantalupo
Arbitrator(s): Francis J. Pavetti, Robert L. Chase, Charles W. Danis
Hearing Site: Hartford, CT
| | Stipulated Award |
| 12-03049 | 09/24/2014 | Claimant(s): Madeleine Perricone
Claimant Lawyers(s): Madeleine Perricone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Kenneth Dymond, Paul Smith Besson, Charles W. Danis
Hearing Site: Hartford, CT
| | Expungement |
| 13-00175 | 08/26/2014 | Claimant(s): William Thomas
Claimant Lawyers(s): Howard Rosenfield
Respondent(s): Patrick Clark, William Sheehan
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Sean Alan D'Amico, David D. Vetrane, Charles W. Danis
Hearing Site: Hartford, CT
| | Expungement |
| 12-03256 | 10/02/2013 | Claimant(s): Sondra Schneider
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Alun Hywel Jones, David B. Beizer, Charles W. Danis
Hearing Site: Hartford, CT
| | Expungement |
