| 10-05523 | 01/31/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Angelo Carlone
Respondent Lawyers(s): Andrew W. Krevolin
Arbitrator(s): Steven R. Rolnick, Harry N. Mazadoorian, James J. Gadarowski
Hearing Site: Hartford, CT
| | |
| 11-00457 | 01/25/2012 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Charles Kopp, III
Respondent Lawyers(s): Charles W. Kopp
Arbitrator(s): Shari B. Broder
Hearing Site: Hartford, CT
| | |
| 11-02600 | 01/05/2012 | Claimant(s): Gerald Paquette
Claimant Lawyers(s): Thomas P. Wilcutts
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Peter W. Gilles
Arbitrator(s): B. J. Krintzman, David B. Beizer, John Thomas Shaban
Hearing Site: Hartford, CT
|  | Expungement |
| 11-00773 | 11/30/2011 | Claimant(s): Gerard Bianco, Gabriella Bianco
Claimant Lawyers(s): Gerard Bianco
Respondent(s): James Rapuano, GunnAllen Financial
Respondent Lawyers(s): Frederick Kraus, James Michael Rapuano
Arbitrator(s): Mary C. Kelleher
Hearing Site: Hartford, CT
| | $31,696 |
| 10-02944 | 11/10/2011 | Claimant(s): John Trani
Claimant Lawyers(s): Jeremy A. Mellitz
Respondent(s): Brad Zeisse, Michael Kramer, B. C. Ziegler and Company
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Richard Slavin, Lawrence S. Brick, Thomas J. Donoghue
Hearing Site: Hartford, CT
| | $0 |
| 09-05813 | 10/25/2011 | Claimant(s): Robert Hall and Helen Hall
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Timothy Kelly
Respondent Lawyers(s): Timothy Llewellyn Kelly
Arbitrator(s): Brian J. Dunn, Jack B. Golden, Mary Elizabeth Satran
Hearing Site: Hartford, CT
| | $89,250 |
| 10-01483 | 08/17/2011 | Claimant(s): Marc G. Gaudreau IRA, Wendy L. Story IRA, Beers & Story 401K TTEE W Story & M Gaud
Claimant Lawyers(s): Bart W. Heemskerk
Respondent(s): Andrew Beaudry
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Brian J. Dunn, Philip S. Walker, Michael D. Grant
Hearing Site: Hartford, CT
| | $0 |
| 10-04301 | 08/01/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Mark Levine
Respondent Lawyers(s): Martin A. Gould
Arbitrator(s): June Y. Kilmarx
Hearing Site: Hartford, CT
| | |
| 09-06623 | 07/26/2011 | Claimant(s): Richard Fahs
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Janet L. Brown, Jane Venckus Zirlis, Francis J. Pavetti
Hearing Site: Hartford, CT
| | $82,947 |
| 10-00520 | 06/28/2011 | Claimant(s): Alan Mendelson and Peggy Mendelson
Claimant Lawyers(s): Ian E. Bjorkman
Respondent(s): Geoffrey Gregory, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Todd H. Cox
Arbitrator(s): Francis J. Pavetti, Marissa A. Santangelo, Houston Putnam Lowry
Hearing Site: Hartford, CT
| | Expungement |
