| 15-02574 | 06/09/2016 | Claimant(s): Michael Caprario
Claimant Lawyers(s): Michael Caprario
Respondent(s): Dain StokesL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
|  | Expungement |
| 14-00232 | 09/14/2015 | Claimant(s): Simon Haberman, 251 CPW Housing, The Simon V. Haberman Revocable Trust
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Thomas Carroll
Respondent Lawyers(s): Thomas Edward Carroll
Arbitrator(s): Sandor I. Rabkin, Frederick J. Myers, W. Wright Danenbarger
Hearing Site: Manchester, NH
| | Expungement |
| 14-00047 | 07/13/2015 | Claimant(s): Ann Clark, James Clark
Claimant Lawyers(s): James O. Clark
Respondent(s): Jovannie Aquino, National Securities Corporation, Michael O'callaghan
Respondent Lawyers(s): Jovannie Aquino, Thomas J. Walsh
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
| | $0 |
| 14-03553 | 06/02/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Jeffrey Wesson
Respondent Lawyers(s): Jeffrey Leo Wesson
Arbitrator(s): Thomas C. Tretter
Hearing Site: Manchester, NH
| | |
| 13-02469 | 05/07/2015 | Claimant(s): Scott Buonopane
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Tommy Belesis
Respondent Lawyers(s): Anthony C. Varbero
Arbitrator(s): Robert L. Chase, John Klinetob, Frederick J. Myers
Hearing Site: Manchester, NH
| | $0 |
| 13-02616 | 11/25/2014 | Claimant(s): Allen Nelson, Susan Nelson, Nelson Realty North Corp. LLC, One Live Oak 4
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Kulch, Next Financial Group.
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Robert Titus, Edward Joseph Boudreau, Peter Andrew Marx
Hearing Site: Manchester, NH
| | Expungement |
| 13-03451 | 11/04/2014 | Claimant(s): Terry Bennett, Terry C. and Terry M. Bennett Trust
Claimant Lawyers(s): Michael C. Harvell
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Cliff G. Anderson
Arbitrator(s): B. J. Krintzman, Peter Andrew Marx, Dennis James Malloy
Hearing Site: Manchester, NH
| | $0 |
| 13-02640 | 10/28/2014 | Claimant(s): Robert Branscombe
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Ronald L. Cheney, B. J. Krintzman, Philip S. Wellman
Hearing Site: Manchester, NH
| | Expungement |
| 14-00742 | 08/19/2014 | Claimant(s): Mark Robinson
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Manchester, NH
| | $0 |
| 12-01990 | 06/03/2014 | Claimant(s): Barbara Pennington, Michael Pennington, Barbara Pennington IRA, Michael Pennington IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): David Ellis, Ruth-Ellen Post, Frederick J. Myers
Hearing Site: Manchester, NH
| | Expungement |
