| 16-00135 | 06/15/2017 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): V. Justin Arpey
Respondent(s): Daniel Caso
Respondent Lawyers(s): AiVi Nguyen
Arbitrator(s): Edward Joseph Boudreau, Frank Sanclemente, Mary E. Bassett
Hearing Site: Boston, MA
| | |
| 13-02616 | 11/25/2014 | Claimant(s): Allen Nelson, Susan Nelson, Nelson Realty North Corp. LLC, One Live Oak 4
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Kulch, Next Financial Group.
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Robert Titus, Edward Joseph Boudreau, Peter Andrew Marx
Hearing Site: Manchester, NH
|  | Expungement |
| 12-01070 | 11/26/2013 | Claimant(s): Gregory Vallee
Claimant Lawyers(s): Jesse S. Angeley
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Christine R. Fitzgerald
Arbitrator(s): Ronald L. Cheney, Mary C. Kelleher, Edward Joseph Boudreau
Hearing Site: Manchester, NH
| | |
| 06-04399 | 05/21/2008 | Claimant(s): Daniel Dart
Claimant Lawyers(s): Dan Driscoll
Respondent(s): Pioneer Funds Distributor., Pioneer Investment Management USA., Pioneer Investment Management.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): S. Lawrence Gwin, John F. Poole, Edward Joseph Boudreau
Hearing Site: Boston, MA
| | |
| 07-00582 | 11/27/2007 | Claimant(s): Laura Hammond, Michael Hammond, Sports Etc II. Profit Sharing
Claimant Lawyers(s): Michael F. Hammond
Respondent(s): David Sidwell, John Riley, Morgan Stanley DW Inc., Citigroup Global Markets
Respondent Lawyers(s): Raul Sanchez, Susan Poder MacFarlane
Arbitrator(s): Byron Alexander Menides, Edward Joseph Boudreau, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 07-00009 | 11/26/2007 | Claimant(s): Eric Gauster
Claimant Lawyers(s): Eric Robert Gauster
Respondent(s): Citigroup Global Markets., Martin Parquette, Michael Parker
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): June Y. Kilmarx, Edward Joseph Boudreau, Joseph Charles Kennedy
Hearing Site: Boston, MA
| | |
