| 20-01158 | 10/29/2020 | Claimant(s): Micahel Chadwick
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Portsmouth Financial Services
Respondent Lawyers(s): Randy Fox, Richard Kuhlman
Arbitrator(s): Steven R. Rolnick
Hearing Site: Hartford, CT
| | |
| 19-03374 | 06/29/2020 | Claimant(s): Steven Jacques
Claimant Lawyers(s): Steven Todd Jacques
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Samuel H. Chorches, Eileen Devaney Leo, Mark Stuart Gurevitz
Hearing Site: Hartford, CT
| | |
| 18-03020 | 06/15/2020 | Claimant(s): R.S.S. McKosky, Tatyana McKosky
Claimant Lawyers(s): Richard Freeth
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Robert L. Chase, Edward S. Hill, Anna Jacobs Griffith
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206/12504 |
| 19-02072 | 06/10/2020 | Claimant(s): Justin Podbielski, Xochil Rivera
Claimant Lawyers(s): Marc T. Miller
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Dale S. Cronnell, Samuel H. Chorches, Mark Stuart Gurevitz
Hearing Site: Hartford, CT
| | |
| 18-00710 | 06/08/2020 | Claimant(s): Julius Pasqualoni, Sheri Pasqualoni
Claimant Lawyers(s): Sabato P Fiano
Respondent(s): David Ivanovich Jr., John Campeau, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Robert L. Chase, April C. Teveris, Jeremy Gray Zimmermann
Hearing Site: Hartford, CT
| | $0 |
| 19-03687 | 06/02/2020 | Claimant(s): Monica Chioffi
Claimant Lawyers(s): Monica C. Chioffi
Respondent(s): Oppenheimer & Co.., Steven Gordon
Respondent Lawyers(s): John T. McGuire, Steven A. Gordon
Arbitrator(s): Kathleen Hoey Gorr
Hearing Site: Hartford, CT
| | $1,275 |
| 19-03744 | 05/27/2020 | Claimant(s): Robert Lucarelli
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Thomas M. Madden
Hearing Site: Hartford, CT
| | |
| 19-02724 | 05/26/2020 | Claimant(s): Thomas Chimirri
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Touchstone Securities.
Respondent Lawyers(s): Barry D. Hunter
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | |
| 17-02304 | 05/12/2020 | Claimant(s): Angelina J. Cuccaro Family Trust
Claimant Lawyers(s): Stephen Studer
Respondent(s): Paul Steffany, Raymond, James & Associates.
Respondent Lawyers(s): George D. Sullivan, Paul Anthony Steffany
Arbitrator(s): Lewis S. Kurlantzick, Robert L. Chase, Peter E. Gillespie
Hearing Site: Hartford, CT
| | Settlement |
| 19-02830 | 04/06/2020 | Claimant(s): Careena Patel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Robert E. Anderson
Hearing Site: Hartford, CT
| | |
