| 10-05642 | 09/04/2013 | Claimant(s): Adindu Nwachuku, Charter Oak Wealth Management Group LLCorate Retirement Group
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Curt Christensen, Eric Schulman, Thomas Colbert, ING Financial Partners.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Samuel H. Chorches, Kenneth Dymond, James J. Gadarowski
Hearing Site: Hartford, CT
| | |
| 12-00680 | 08/21/2013 | Claimant(s): Patricia Santacroce
Claimant Lawyers(s): Adam Gana
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
|  | Expungement |
| 09-05718 | 08/20/2013 | Claimant(s): Patrick Kennedy
Claimant Lawyers(s): Patrick Kennedy
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Samuel H. Chorches, Francis J. Pavetti, April C. Teveris
Hearing Site: Hartford, CT
| | $0 |
| 12-01113 | 08/19/2013 | Claimant(s): Andrew Schopick
Claimant Lawyers(s): Andrew Schopick
Respondent(s): Fieldpoint Private Securities
Respondent Lawyers(s): Richard Slavin
Arbitrator(s): Robert Pincus, William T. Brice, James Rosenblum
Hearing Site: Hartford, CT
| | |
| 13-00563 | 08/19/2013 | Claimant(s): Gregory Micoletti
Claimant Lawyers(s): Gregory Micoletti
Respondent(s): Marcus Debaise
Respondent Lawyers(s): Vanessa M. Hoffman
Arbitrator(s): Missy Daboul Margolis
Hearing Site: Hartford, CT
| | $40,300 |
| 11-01592 | 06/19/2013 | Claimant(s): Kevin Carey
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): ING Financial Advisers
Respondent Lawyers(s): David R. Jiminez
Arbitrator(s): Barry Quint, Lewis S. Kurlantzick, Robert L. Chase
Hearing Site: Hartford, CT
| | |
| 10-02089 | 05/23/2013 | Claimant(s): Denise Balisciano, Edmund Balisciano
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): James Rapuano
Respondent Lawyers(s): James Michael Rapuano
Arbitrator(s): Brian J. Dunn
Hearing Site: Hartford, CT
| | $79,719 |
| 11-02134 | 05/01/2013 | Claimant(s): Paul and Veronica Pinchuk
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael Shannon
Arbitrator(s): Bennett A. Hall
Hearing Site: Hartford, CT
| | Expungement |
| 12-00207 | 04/02/2013 | Claimant(s): John Cohane, Neal Cohane
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Andrew Shapiro, Donald Hunter, Gregory Martino, Tatyana Andreyeva, Westrock Advisors.
Respondent Lawyers(s): Andrew Jay Shapiro, Donald Horton Hunter, Gregory Marcel Martino, Louis J. Rich, Tatyana Andreyeva
Arbitrator(s): Lincoln W. Craighead, Stewart F. Kleinman, Eileen Devaney Leo
Hearing Site: Hartford, CT
| | $0 |
| 12-00799 | 12/19/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Walton
Respondent Lawyers(s): Thomas Xavier Walton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
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