| 24-00115 | 09/18/2024 | Claimant(s): Sandra Rose
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Caitlin P. Cascino
Arbitrator(s): Peter M Cosel
Hearing Site: Hartford, CT
| | |
| 24-01079 | 08/23/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Frank J. Cuccio
Respondent(s): Anthony Tassone
Respondent Lawyers(s): Anthony M. Tassone
Arbitrator(s): Thomas M. Madden
Hearing Site: Hartford, CT
| | |
| 23-01449 | 05/30/2024 | Claimant(s): John Paul Morales
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Amanda L. Parisi
Arbitrator(s): John Francis Markuns
Hearing Site: Hartford, CT
| | |
| 23-02775 | 05/21/2024 | Claimant(s): James Shuttleworth
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): David Adams Reif
Hearing Site: Hartford, CT
| | |
| 23-02975 | 04/25/2024 | Claimant(s): David Scranton
Claimant Lawyers(s): James P. Galvin
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Thomas Drogan
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 22-01942 | 04/09/2024 | Claimant(s): John Enderle, Marguerite Enderle, Nicholas Salerno
Claimant Lawyers(s): Joshua Kons
Respondent(s): Michael Dworetsky, Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Steven R. Rolnick, John J. Mager, Patrick Leo Kennedy
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206 |
| 22-02275 | 03/14/2024 | Claimant(s): David Gershoni
Claimant Lawyers(s): David John Freniere
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s):
Hearing Site: Hartford, CT
| | |
| 23-02222 | 03/01/2024 | Claimant(s): Wendy Wheeler
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Susan E. Maloney
Hearing Site: Hartford, CT
| | |
| 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
| | |
| 21-01271 | 01/26/2024 | Claimant(s): Katharine Constable
Claimant Lawyers(s): Andrew D. O'Toole
Respondent(s): Frank Epinger, J.P. Morgan Securities, Jacqueline Rahn, Jonathan Galan, Trevor Rahn
Respondent Lawyers(s): David Harrison, Dexter B. Johnson, Eugene L. Small, Michael M. Wilson
Arbitrator(s): Diane Ciccone, Steven R. Rolnick, David Adams Reif
Hearing Site: Hartford, CT
| | Expungement |
