| 19-03473 | 03/30/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas Lewis
Respondent(s): Kevin Carroll
Respondent Lawyers(s): Kevin Joseph Carroll
Arbitrator(s): Jim Geiger
Hearing Site: Hartford, CT
| | |
| 19-00433 | 02/25/2020 | Claimant(s): Barbara Dierolf, Margaret Ragozzino, Barbara K. Dierolf Trust, Ruth Kunin Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Robert Delbuono, Money Concepts Capital Corp
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Sean Michael Peoples, Paul Smith Besson, Catherine M. Gallagher
Hearing Site: Hartford, CT
|  | Expungement |
| 19-00059 | 01/28/2020 | Claimant(s): Edwin Jolly
Claimant Lawyers(s): David L. Griffith
Respondent(s): Jeff LaFave, Joan Tucker-White, Voya Financial Advisors.
Respondent Lawyers(s): Andrew D. O'Toole, Joseph M. Porto
Arbitrator(s): Peter E. Gillespie, Dean Alan Schachter, David Adams Reif
Hearing Site: Hartford, CT
| | |
| 18-02479 | 11/13/2019 | Claimant(s): Betsy Hoffman
Claimant Lawyers(s): Betsy Hoffman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Julian F. Santos, Edward S. Hill, Christine H Barrington
Hearing Site: Hartford, CT
| | $0 |
| 19-02694 | 11/06/2019 | Claimant(s): Richard Cyphers
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew F. Renna
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | |
| 18-02164 | 11/01/2019 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Jamie Nowakowski
Respondent Lawyers(s): Dennis C. Carter
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Hartford, CT
| | |
| 19-01052 | 10/22/2019 | Claimant(s): Joshua Kampf, Thomas Hutchison
Claimant Lawyers(s): Joel Wertman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert Titus, Richard Hallett Nichol, Michael P. Breton
Hearing Site: Hartford, CT
| | |
| 18-01549 | 10/08/2019 | Claimant(s): Justina Manko
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Wells Fargo Advisors Financial Network, Thomas Gasbarre
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Catherine Stewart, Mae A. Brudner, Thomas M. Madden
Hearing Site: Hartford, CT
| | $0 |
| 18-00446 | 10/01/2019 | Claimant(s): FPJ Investments LLC, Estate of Frank Perrotti, Jr.
Claimant Lawyers(s): David A. Gehn
Respondent(s): David Riccio
Respondent Lawyers(s): David Michael Riccio
Arbitrator(s): Mae A. Brudner, Franklin Sariel Schwerin, Thomas M. Madden
Hearing Site: Hartford, CT
| | $1,300,000 |
| 18-00230 | 09/30/2019 | Claimant(s): David Falcigno
Claimant Lawyers(s): Edmund Polubinski
Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Robert R. Barker, Robert L. Chase, Catherine M. Gallagher
Hearing Site: Hartford, CT
| | $29,337 |
