| 11-01431 | 02/06/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan David Berg
Respondent(s): David Lenahan
Respondent Lawyers(s): David Lenahan
Arbitrator(s): Cheryl H. Agris
Hearing Site: Hartford, CT
| | |
| 11-04048 | 01/29/2015 | Claimant(s): Susan Lawshe
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Christopher Coppola, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
|  | $0 |
| 09-04736 | 11/06/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Charles Meade, Frank Gavel, Raymond James Financial Services., Nutmeg Investment Group
Respondent Lawyers(s): David A. Gehn, Thomas J. Finn
Arbitrator(s): Lewis S. Kurlantzick, Marissa A. Santangelo, Stewart F. Kleinman
Hearing Site: Hartford, CT
| | |
| 13-00542 | 11/06/2014 | Claimant(s): John and Alys Krichavsky, Ken and Judith Boudreau
Claimant Lawyers(s): Edward Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Thomas C. Tretter, Robert M. Singer, Edward Allison Downe
Hearing Site: Hartford, CT
| | Expungement |
| 14-01079 | 10/16/2014 | Claimant(s): Michael Korbel
Claimant Lawyers(s): Michael Korbel
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $0 |
| 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 |
| 14-00509 | 08/21/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): David Lenahan
Respondent Lawyers(s): David Robert Lenahan
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | |
| 13-00671 | 07/29/2014 | Claimant(s): Paula Brainsky
Claimant Lawyers(s): Michael E. Levinson
Respondent(s): Ameriprise Financial Services., Whitney Cook
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | $675 |
| 13-02579 | 05/23/2014 | Claimant(s): Christopher DeAngelis, Laura DeAngelis
Claimant Lawyers(s): Jeffrey Hellman
Respondent(s): Robert Lee
Respondent Lawyers(s): Robert Edward Lee
Arbitrator(s): Mary Elizabeth Satran
Hearing Site: Hartford, CT
| | $524,930 |
