| 22-02966 | 08/05/2024 | Claimant(s): Estate of John Roth Admin. Tatiana Roth
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Dalmore Group LLC
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Christine R. Fitzgerald, Frank Sanclemente, John George Neylon
Hearing Site: Manchester, NH
| | |
| 23-02212 | 03/04/2024 | Claimant(s): John McCune
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): Susan E. Maloney
Hearing Site: Manchester, NH
| | |
| 23-01380 | 02/07/2024 | Claimant(s): Douglas Frizzell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Jim Geiger
Hearing Site: Manchester, NH
| | |
| 22-01420 | 12/28/2023 | Claimant(s): Brian Wells
Claimant Lawyers(s): Brian Wells
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Professional Clearing Corp, BOFA Securities.
Respondent Lawyers(s): Ronald Smith
Arbitrator(s): William A. Barrett, Linda J. Baer, Gregory Hunter Mathews
Hearing Site: Manchester, NH
|  | $0 |
| 22-01761 | 09/15/2023 | Claimant(s): The Reed Family Trust
Claimant Lawyers(s): Jorge Altamirano
Respondent(s): Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Linda J. Baer
Hearing Site: Manchester, NH
| | $0 |
| 22-01826 | 06/13/2023 | Claimant(s): Charles Bolianites
Claimant Lawyers(s): Jonathan R. Voegele
Respondent(s): Steven Busto, PHX Financial.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Linda J. Baer
Hearing Site: Manchester, NH
| | $9,938 |
| 21-01974 | 05/30/2023 | Claimant(s): Betty Sprague, Eric Orkin
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Triad Advisors LLC, Lion Street Financial
Respondent Lawyers(s): Gerry Kowalski, Kathy M. Klock
Arbitrator(s): Edward W. Morris, Howard N. Gorney, Sean Michalski
Hearing Site: Manchester, NH
| | Expungement |
| 22-00803 | 05/04/2023 | Claimant(s): Norman D'Silva
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PFS Investments Inc.
Respondent Lawyers(s): Marva Graham
Arbitrator(s): John James McGovern
Hearing Site: Manchester, NH
| | |
| 22-00172 | 01/30/2023 | Claimant(s): Kevin Mahoney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Catherine Stewart
Hearing Site: Manchester, NH
| | |
| 22-00902 | 01/27/2023 | Claimant(s): Tom LeMieux
Claimant Lawyers(s): Tom LeMieux
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Catherine Stewart
Hearing Site: Manchester, NH
| | $0 |
