| 21-01578 | 11/19/2021 | Claimant(s): Cobra Trading.
Claimant Lawyers(s): Chadd Hessing
Respondent(s): Helio Oliveira, Oliveira Sousa LLC
Respondent Lawyers(s): Corporate Office, Helio Oliveira
Arbitrator(s): Peter E. Gillespie
Hearing Site: Hartford, CT
|  | $0 |
| 20-03787 | 11/16/2021 | Claimant(s): Joseph Marino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Zachary S. Knoblock
Arbitrator(s): Lewis S. Kurlantzick
Hearing Site: Hartford, CT
| | |
| 18-00118 | 11/05/2021 | Claimant(s): Amy Hourigan, Glenn Hourigan, IRA FBO Amy R. Hourigan, IRA FBO Glenn K. Hourigan
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Robert Ginsberg, Cetera Advisors LLC, Investors Capital Corp., Ginsberg Financial Advising
Respondent Lawyers(s): Brian J. Palmeri, Kate Digeronimo
Arbitrator(s): Mae A. Brudner, Eileen Devaney Leo, Charles W. Danis
Hearing Site: Hartford, CT
| | Stipulated Award |
| 20-00870 | 11/01/2021 | Claimant(s): Timothy Hourihan
Claimant Lawyers(s): Francis D. Dibble
Respondent(s): Dorene Mulholland, Voya Financial Partners, Voya Retirement Ins.and Annuity Co.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Jim Geiger, Mae A. Brudner, Franklin Sariel Schwerin
Hearing Site: Hartford, CT
| | |
| 20-02454 | 08/19/2021 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson, Emily Hayes
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | |
| 20-02832 | 08/11/2021 | Claimant(s): Douglas Miller
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): William E, Hopkins
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 20-02378 | 07/22/2021 | Claimant(s): Bret Laporte
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Jim Geiger
Hearing Site: Hartford, CT
| | |
| 20-03814 | 07/16/2021 | Claimant(s): Thomas Keidel
Claimant Lawyers(s): Thomas Keidel
Respondent(s): David Lerner Associates., Patrick Perugino
Respondent Lawyers(s): Joseph C. Pickard, Patrick A. Perugino
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
| | $6,428 |
| 20-02720 | 07/08/2021 | Claimant(s): Joseph Marino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | |
| 21-00465 | 06/21/2021 | Claimant(s): Rupesh Parajuli
Claimant Lawyers(s): Rupesh Parajuli
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Diane Ciccone
Hearing Site: Hartford, CT
| | $600 |
