| 21-00561 | 12/11/2023 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Alexander C.B. Barnard
Respondent(s): Daniel Caso
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Michael L. Letendre, Andrea J. Goldman, Stephen Polit
Hearing Site: Boston, MA
| | |
| 22-01908 | 11/06/2023 | Claimant(s): Janice Mecca, Laurence Brown, Robert Mecca, Brown Family Maintenance Trust, Brown Revocable Trust, Donald M Brown Income Provider Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Andrea J. Goldman, Peter M Cosel, Stephen James McLaughlin
Hearing Site: Boston, MA
|  | $246,114 |
| 22-02735 | 07/13/2023 | Claimant(s): Ally Invest Securities LLC
Claimant Lawyers(s): Daniel S. Newman
Respondent(s): Tin Tran
Respondent Lawyers(s): Tin Trung Tran
Arbitrator(s): Andrea J. Goldman, Gene M. Bauer, Edward Wallack
Hearing Site: Boston, MA
| | $149,389 |
| 22-01004 | 02/22/2023 | Claimant(s): Lee Holland
Claimant Lawyers(s): Lee M. Holland
Respondent(s): Sofi Securities LLC
Respondent Lawyers(s): William Corey
Arbitrator(s): Andrea J. Goldman
Hearing Site: Boston, MA
| | $0 |
| 21-01469 | 07/11/2022 | Claimant(s): Adrienne Rowles
Claimant Lawyers(s): John E. Sutherland
Respondent(s): George Woerdeman
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): B. John Dill, Andrea J. Goldman, Christine R. Fitzgerald
Hearing Site: Boston, MA
| | |
| 20-00106 | 03/11/2022 | Claimant(s): Allan T. Schmaltz IRA
Claimant Lawyers(s): John E. Sutherland
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Andrea J. Goldman
Hearing Site: Boston, MA
| | $0 |
| 17-03106 | 03/20/2020 | Claimant(s): Randy O'Brien, William O'Brien, Randy O'Brien owner ROTH IRA, Randy O'Brien owner Traditional IRA, William F. O'Brien, Jr. owner ROTH IRA, Randy and William Francis O'Brien, Randy O'Brien Trust, Seth E. Ellis Esq. The O'Brien Family, Seth E. Ellis The O'Brien Family Irrevoc, The O'Brien Family Irrevocable Life Insu, The O'Brien Family Irrevocable Trust, Jr. Trust, 529 Plan FBO Conor O'Brien UTMA, 529 Plan FBO Molly O'Brien UTMA, MSB FBO WR Acquisitions, L.P. - WR Asset, WR Acquisitions LP WR Asset Management, WR Asset Management
Claimant Lawyers(s): Brian M. Haney
Respondent(s): Morgan Stanley, Jonathan Lonske
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): John Joseph Cotter, Andrea J. Goldman, Steven S. Manos
Hearing Site: Boston, MA
| | $0 |
| 17-02450 | 06/29/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Polese
Respondent Lawyers(s): James S Polese
Arbitrator(s): Andrea J. Goldman
Hearing Site: Boston, MA
| | |
| 16-03090 | 10/31/2017 | Claimant(s): Allen Waters
Claimant Lawyers(s): Allen Rodney Waters
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Cora E. MacLean
Arbitrator(s): Thomas C. Tretter, Andrea J. Goldman, James R. Collins
Hearing Site: Boston, MA
| | |
| 12-00626 | 10/04/2013 | Claimant(s): Kathleen Wu
Claimant Lawyers(s): Thomas G. Shapiro
Respondent(s): Eric Gauster, Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Mary C. Kelleher, David Ellis, Andrea J. Goldman
Hearing Site: Boston, MA
| | $452,060 |
