22-02791 | 01/22/2024 | Claimant(s): Thomas Curtin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Matthew Bohenek Arbitrator(s): Robert L. Chase Hearing Site: Hartford, CT
| | |
23-02322 | 01/19/2024 | Claimant(s): Elisheva Defeo Claimant Lawyers(s): Christopher H. Tovar Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Leslie Blickenstaff Arbitrator(s): John Thomas Shaban, Edward S. Hill, Peter M Cosel Hearing Site: Hartford, CT
| | |
23-01001 | 01/17/2024 | Claimant(s): Ernest Montavon Claimant Lawyers(s): Brian Luther Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Mark A. Pratzel Arbitrator(s): Peter E. Gillespie Hearing Site: Hartford, CT
| | |
22-00227 | 10/30/2023 | Claimant(s): Lauren Gazzola as AIF for Robert Gazzola, The Robert Gazzola Irrevocable Trust Claimant Lawyers(s): Matthew N. Thibaut Respondent(s): David Lerner Associates. Respondent Lawyers(s): Gene L. Small Arbitrator(s): Jud Perkins, David Adams Reif, Ilene J Feldman Hearing Site: Hartford, CT
| | Dismissed by Rule 12212© |
21-02920 | 10/18/2023 | Claimant(s): Erik Kuselias Claimant Lawyers(s): Brian C. Fournier Respondent(s): Scott Dorer, Steven Loveall, Securities America. Respondent Lawyers(s): Brian J. Palmeri, Greg Curley Arbitrator(s): Samuel H. Chorches, Thomas M. Madden, Andrew Stephen Knott Hearing Site: Hartford, CT
| | $0 |
23-00162 | 09/07/2023 | Claimant(s): Joseph Ferron Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): FFP Securities., Veravest Investments. Respondent Lawyers(s): Donna Lawson, Mark H. Stepakoff Arbitrator(s): Lewis S. Kurlantzick, Michael A. Orticelle, John Thomas Shaban Hearing Site: Hartford, CT
| | |
21-03139 | 08/02/2023 | Claimant(s): Catherine Brown, Denise Correia Claimant Lawyers(s): August M. Iorio Respondent(s): David Lerner Associates. Respondent Lawyers(s): Michael G. Shannon Arbitrator(s): Gregory Hunter Mathews, Robert M. Singer, Michael R. Ricci Hearing Site: Hartford, CT
| | Expungement |
20-03379 | 07/26/2023 | Claimant(s): Andrew Wysocki, Dean Wysocki Claimant Lawyers(s): Michael Hill Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Robert K. Jamieson Arbitrator(s): Samuel H. Chorches, Peter E. Gillespie, Ilene J Feldman Hearing Site: Hartford, CT
| | Expungement |
22-00220 | 06/13/2023 | Claimant(s): Dena Tucker, Estate of Robert P. Tucker Claimant Lawyers(s): Joseph A. Hourihan Respondent(s): Jesse Fable, UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Thomas M. Madden Hearing Site: Hartford, CT
| | $0 |
22-02151 | 05/02/2023 | Claimant(s): Dennis Karjanis Claimant Lawyers(s): Craig A Riha Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Philip S. Wellman, Peter E. Gillespie, David Adams Reif Hearing Site: Hartford, CT
| | |