| 17-03020 | 07/30/2018 | Claimant(s): Kevin Sullivan
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | |
| 17-03241 | 07/10/2018 | Claimant(s): Samuel Belsito
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael R. Gaico, Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Hartford, CT
| | |
| 17-01417 | 06/22/2018 | Claimant(s): Candida Heffernan, Estate of Thomas Heffernan
Claimant Lawyers(s): Deanna Besbekos-LaPage
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Michael J. McNeil, Michael P. Breton, Thomas Joseph Regan
Hearing Site: Hartford, CT
|  | $0 |
| 17-02102 | 06/12/2018 | Claimant(s): Joseph Grusczak, William DeGraff, Joseph Grusczak IRA, William DeGraff IRA
Claimant Lawyers(s): Jeffrey Hellman
Respondent(s): Oppenheimer & Co.., Richard Baum, Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward, Ralph Izzo
Arbitrator(s): Robert L. Chase, Ira A. Auerbach, David R. Foley
Hearing Site: Hartford, CT
| | Expungement |
| 17-00081 | 05/08/2018 | Claimant(s): D'Amato Family Living Trust
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): David Remigino, Buell Securities Corp.
Respondent Lawyers(s): Richard Slavin
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Hartford, CT
| | $0 |
| 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 |
| 16-00123 | 03/27/2018 | Claimant(s): Gary Helbling
Claimant Lawyers(s): Richard Slavin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jeffrey A. Fritz
Arbitrator(s): Diane Ciccone, Paul Smith Besson, Richard Hallett Nichol
Hearing Site: Hartford, CT
| | |
| 17-01310 | 03/05/2018 | Claimant(s): Christopher Metcalf, Jeffrey Cole
Claimant Lawyers(s): David Erez Dobin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Marissa A. Santangelo, Edward W. Morris, Catherine M. Gallagher
Hearing Site: Hartford, CT
| | |
| 16-03260 | 02/16/2018 | Claimant(s): Brandon Marinelli, Meagan Donahue
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Michael J. McNeil, John M. Dasher, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 17-01309 | 02/09/2018 | Claimant(s): Christopher Metcalf
Claimant Lawyers(s): David Erez Dobin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Marissa A. Santangelo, Edward W. Morris, Paul Smith Besson
Hearing Site: Hartford, CT
| | |
