| 20-01625 | 10/17/2023 | Claimant(s): Prakash Shukla
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Stephen M. Acerra, Denise L. Presley, Jeremy M. Bloomenthal
Hearing Site: Boston, MA
|  | Expungement |
| 19-03772 | 01/09/2023 | Claimant(s): Joshua Heapes
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Chad Troester, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher S. Koller
Arbitrator(s): Nelson P. Lovins, Denise L. Presley, Michael P. Breton
Hearing Site: Boston, MA
| | |
| 22-01074 | 10/07/2022 | Claimant(s): Gregory Violette
Claimant Lawyers(s): Gregory Paul Violette
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Denise L. Presley
Hearing Site: Augusta, ME
| | $0 |
| 19-01455 | 04/06/2022 | Claimant(s): James Novak
Claimant Lawyers(s): Terry J. Kirwan
Respondent(s): Charles Schwab & Co.., Herbert Reilly, HFR Investment Advisory Services
Respondent Lawyers(s): David G. Burch, Kevin H. Lewis
Arbitrator(s): Patrick M. Markey, Denise L. Presley, Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
| 19-00007 | 03/09/2021 | Claimant(s): Susan Cable, Estate of Graham M. Polonsky
Claimant Lawyers(s): Alexander Aron Flig
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Samuel H. Chorches, Robert E. Anderson, Denise L. Presley
Hearing Site: Boston, MA
| | $0 |
| 20-01869 | 02/03/2021 | Claimant(s): Jason Skolnick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell
Arbitrator(s): Denise L. Presley
Hearing Site: Boston, MA
| | |
| 19-02074 | 03/16/2020 | Claimant(s): Lawrence Eppolito
Claimant Lawyers(s): Matt Wolper
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Denise L. Presley
Hearing Site: Boston, MA
| | |
| 19-02601 | 01/21/2020 | Claimant(s): Daniel Pimental
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities Inc
Respondent Lawyers(s): Jeffrey A. Dunlap
Arbitrator(s): Denise L. Presley
Hearing Site: Boston, MA
| | |
| 17-03324 | 12/13/2019 | Claimant(s): Ilir Hasani, Ivana Vanacova, Gresa USA LLC (Hasani & Vanacova)
Claimant Lawyers(s): Lee Holland
Respondent(s): Matthew Warshaw, Merrill Lynch Pierce Fenner & Smith Inc., Michael Wasserman
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Ronald L. Cheney, Susan E. Maloney, Denise L. Presley
Hearing Site: Boston, MA
| | $0 |
| 19-01309 | 11/13/2019 | Claimant(s): Regina Bernarduci
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Denise L. Presley
Hearing Site: Boston, MA
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