| 10-01951 | 05/27/2011 | Claimant(s): Richard K. Lublin and Jane E. Lublin Rev
Claimant Lawyers(s): Edward R. Scofield
Respondent(s): Geoffrey Karp, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Burton Wayne Cox
Arbitrator(s): Samuel H. Chorches, Harvey Casher, Jack B. Golden
Hearing Site: Hartford, CT
|  | Expungement |
| 10-03330 | 05/20/2011 | Claimant(s): Boston Property Exchange Tranfer Company
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Lewis S. Kurlantzick, Edward Allison Downe, David D. Vetrane
Hearing Site: Hartford, CT
| | $0 |
| 10-02344 | 05/17/2011 | Claimant(s): Thomas Ilko
Claimant Lawyers(s): Thomas Ilko
Respondent(s): Kershner Securities
Respondent Lawyers(s): David A. Shargel
Arbitrator(s): Dale S. Cronnell, B. John Dill, David B. Beizer
Hearing Site: Hartford, CT
| | |
| 10-04923 | 04/27/2011 | Claimant(s): Lucian Leonte & Marie Leonte
Claimant Lawyers(s): Lucian Leonte
Respondent(s): Firstrade Securities Inc.
Respondent Lawyers(s): Peter E. Gschweng
Arbitrator(s): Jeffrey G. Sommers
Hearing Site: Hartford, CT
| | $38 |
| 09-06108 | 04/07/2011 | Claimant(s): Douglas J. Beach and Margaret A. Beach
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Roger L. Crossland, John Thomas Shaban, Houston Putnam Lowry
Hearing Site: Hartford, CT
| | Expungement |
| 10-00632 | 03/21/2011 | Claimant(s): Karen Kim
Claimant Lawyers(s): Karen H. Kim
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Gabriel L. Williams
Arbitrator(s): Dallas Whitney Coffman, Samuel H. Chorches, Francis J. Pavetti
Hearing Site: Hartford, CT
| | |
| 10-04310 | 01/28/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Joseph Morrow
Respondent Lawyers(s): Joseph Harold Morrow
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Hartford, CT
| | |
| 10-03020 | 01/14/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): David LaMay, Essex Financial Services.
Respondent Lawyers(s): Richard Slavin, Robert A. Richardson
Arbitrator(s): Charles Franklin Willson, John Thomas Shaban, Edward Allison Downe
Hearing Site: Hartford, CT
| | |
| 09-06605 | 12/03/2010 | Claimant(s): Agnes Brill, Robert Brill
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): People's Securities.
Respondent Lawyers(s): Steven J. Stafstrom
Arbitrator(s): Richard Slavin, Harry N. Mazadoorian
Hearing Site: Hartford, CT
| | $10,000 |
| 09-01179 | 09/28/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tricia Landry
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Roger L. Crossland, Steven R. Rolnick, Jack B. Golden
Hearing Site: Hartford, CT
| | |
