| 11-00950 | 03/21/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Karl Hahn
Respondent Lawyers(s): Karl E. Hahn
Arbitrator(s): Mary C. Kelleher
Hearing Site: Manchester, NH
| | |
| 11-03141 | 12/12/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffrey Lavoie
Respondent Lawyers(s): Jeffrey Lavoie
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Manchester, NH
| | |
| 10-00400 | 07/22/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eric Flaim
Respondent Lawyers(s): Eric Joseph Flaim
Arbitrator(s): Ernest Fanwick
Hearing Site: Manchester, NH
| | |
| 09-06212 | 06/17/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Jason Peroni
Respondent Lawyers(s): Jason M Peroni
Arbitrator(s): Arnold M. Marrow, Sandor I. Rabkin, Jane Venckus Zirlis
Hearing Site: Manchester, NH
| | |
| 09-05049 | 05/26/2011 | Claimant(s): Fred Dinkin and Carol J. McKinnon
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Michael A. Balascio
Arbitrator(s): Mary C. Kelleher, David Ellis, Stephen Z. Frank
Hearing Site: Manchester, NH
|  | $45,000 |
| 10-01721 | 04/12/2011 | Claimant(s): Erick Berglund
Claimant Lawyers(s): David Gibbs
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Moriarty
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Manchester, NH
| | Expungement |
| 09-00381 | 01/26/2011 | Claimant(s): Thomas Meyer
Claimant Lawyers(s): Thomas J. Meyer
Respondent(s): Christopher Bingham, Jean-Michel Robiou, E*Trade Securities LLC, Michael Steinrich
Respondent Lawyers(s): Craig A. Saunders, Meredith A. Felde
Arbitrator(s): Peter Svorinic, Susan E. Maloney, Frank E. Wolf
Hearing Site: Manchester, NH
| | Expungement |
| 09-04310 | 10/21/2010 | Claimant(s): New England Securities, New England Life Insurance Company
Claimant Lawyers(s): Martin Harris
Respondent(s): James Archibald
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Robert H. Watts, David Ellis, Robert S. Rosenfeld
Hearing Site: Manchester, NH
| | |
| 10-00156 | 08/04/2010 | Claimant(s): Conrad Guerrette
Claimant Lawyers(s): Conrad W. Guerrette
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John Castelly
Arbitrator(s): B. J. Krintzman
Hearing Site: Manchester, NH
| | $213 |
| 09-05763 | 05/21/2010 | Claimant(s): Preston A. Reed 2000 Trust
Claimant Lawyers(s): Preston A. Reed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert L. Chase
Hearing Site: Manchester, NH
| | $6,139 |
