| 10-01839 | 08/30/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Halldin
Respondent Lawyers(s): Robert Halldin
Arbitrator(s): Ernest Fanwick
Hearing Site: Hartford, CT
| | |
| 09-03920 | 07/26/2010 | Claimant(s): Frank Dottori
Claimant Lawyers(s): Timothy P Gunning
Respondent(s): Ameriprise Financial Services., Robert Lucarelli
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
|  | $0 |
| 08-04668 | 05/21/2010 | Claimant(s): Eilenn G. Akers and Gregory R. Akers
Claimant Lawyers(s): Jeffrey Helmann
Respondent(s): Citigroup Global Markets., Jonathan Elyachar
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Henry Tiffany, Stanley H. Labinger, B. John Dill
Hearing Site: Hartford, CT
| | $0 |
| 09-04003 | 04/13/2010 | Claimant(s): Colleen M. Tirio, IRA, Ronald C. Tirio
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Bennett A. Hall, R. Keith Butterfield, Charles Franklin Willson
Hearing Site: Hartford, CT
| | $0 |
| 08-01117 | 04/07/2010 | Claimant(s): Chase Enterprise Holdings, Cheryl Chase Family, DTC Family Investments, The Cheryl Anne Chase Grantor Trust, The Darland Trust
Claimant Lawyers(s): Richard P. Weinstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew R. Paul
Arbitrator(s): Bennett A. Hall, Jane Venckus Zirlis, William D. Stempel
Hearing Site: Hartford, CT
| | $95,856 |
| 09-05067 | 03/26/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew Park
Respondent(s): Joseph Tiriolo
Respondent Lawyers(s): Joseph Patrick Tiriolo
Arbitrator(s): Francis J. Pavetti
Hearing Site: Hartford, CT
| | |
| 09-02683 | 03/02/2010 | Claimant(s): Emily Czelusniak, Joan Boutin, joint accout with Emily Cze, Linda Dudek, joint account with Emily Cz
Claimant Lawyers(s): Emily Czelusniak
Respondent(s): UBS Financial Services Inc., Peter Borrello, Richard Crews
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Lewis S. Kurlantzick
Hearing Site: Hartford, CT
| | $150 |
| 09-04950 | 02/23/2010 | Claimant(s): Jean Kenny
Claimant Lawyers(s): Jean Ann Kenny
Respondent(s): Russell Salerno, ICMA-RC Services
Respondent Lawyers(s): B. James Rohrbacher
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $6,927 |
| 09-02038 | 12/22/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kevin Carroll
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Jack B. Golden
Hearing Site: Hartford, CT
| | |
| 09-03445 | 12/03/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana H. Sur
Respondent(s): Duffy Worth
Respondent Lawyers(s): Duffy John Worth
Arbitrator(s): Richard Slavin
Hearing Site: Hartford, CT
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