| 15-01270 | 06/20/2017 | Claimant(s): Sally Boyle
Claimant Lawyers(s): Sally J. Boyle
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Sharon L. Monroe, Catherine Stewart, John Francis Markuns
Hearing Site: Manchester, NH
| | |
| 16-03242 | 05/25/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Richard Considine
Respondent Lawyers(s): Christopher T. Considine
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
| | |
| 16-00246 | 04/04/2017 | Claimant(s): George Wood
Claimant Lawyers(s): Scott Fink
Respondent(s): Heather Weber, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Melinda S. Milberg, Denise L. Presley, John Francis Markuns
Hearing Site: Boston, MA
|  | Expungement |
| 16-00218 | 10/19/2016 | Claimant(s): Sophie Shen
Claimant Lawyers(s): Sanford F. Remz
Respondent(s): Christopher Moschella, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Amy Lampert, Gene M. Bauer, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
| 15-01935 | 10/10/2016 | Claimant(s): Newport Coast Securities.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Matthew Barrett
Respondent Lawyers(s): Matthew William Barrett
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
| | |
| 16-00164 | 09/27/2016 | Claimant(s): Timothy Davis
Claimant Lawyers(s): Deborah Gale Evans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Scott K. Shaw, Nickolas F. Monteforte, John Francis Markuns
Hearing Site: Boston, MA
| | |
| 15-01630 | 01/07/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Christopher Baughan
Respondent Lawyers(s): Christopher Mark Baughan
Arbitrator(s): John Francis Markuns
Hearing Site: Providence, RI
| | |
| 13-02069 | 05/01/2015 | Claimant(s): James Briggs, Louisa Briggs
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Brent Porges, Craig Taddonio, David Cannata, David Locy, Brookstone Securities., Craig Scott Capital
Respondent Lawyers(s): Harry Delagrammatikas, William M. Dolan
Arbitrator(s): Timothy F. Shanahan, John Francis Markuns, B. J. Krintzman
Hearing Site: Providence, RI
| | $438,454 |
| 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 |
| 11-02351 | 06/07/2013 | Claimant(s): David Rome, Ellen Rome, as Trustee for the Pyle Rome, Warren H. Pyle, Ttee of Warren H Pyle
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Susan E. Maloney, Barry Joseph Fiske, John Francis Markuns
Hearing Site: Boston, MA
| | Expungement |
