| 18-03995 | 10/04/2019 | Claimant(s): Craig Kinard, Guido Graff
Claimant Lawyers(s): Jason S. Pinney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 10-01598 | 12/26/2013 | Claimant(s): Stanley Brooks, Brookstreet Securities Corporation, Brooks Family Trust
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Jason S. Pinney
Arbitrator(s): Robert Bruce MacDonald, Karen L. Gold, David L. Maislen
Hearing Site: Los Angeles, CA
| | |
| 09-04839 | 08/25/2010 | Claimant(s): Bernard Markey, Navigator Partners
Claimant Lawyers(s): Bernard B. Markey
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Jason S. Pinney
Arbitrator(s): Bernard M. Levine
Hearing Site: Newark, NJ
|  | $750 |
| 09-00120 | 07/22/2010 | Claimant(s): Arthur Taub, Carol Page, Donald Shepard, Esther Stevens, Jeffrey Stevens, Nancy Stevens, Suzanne Helgerson, Travis Bryant, Warren Helgerson, Carol A. Page Roth IRA, Arlan and Barbara Pfohl, Arlan L. & Barbara L. Pfohl Family Trus
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, William Betta, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Jason S. Pinney, Kevin K. Fitzgerald, Tracy L. Gerber
Arbitrator(s): Douglas Martin Crow, Joseph W. Cheek, Paul R. Meyer
Hearing Site: Portland, OR
| | Expungement |
| 07-03051 | 03/09/2009 | Claimant(s): Sylvia Vall
Claimant Lawyers(s): Sylvia Vall
Respondent(s): Domenic Accetta, Putnam Retail Management Limited Partner
Respondent Lawyers(s): Jason S. Pinney, MIchael R. Weissmann
Arbitrator(s): James S. Martin
Hearing Site: San Francisco, CA
| | $0 |
| 07-00898 | 04/24/2008 | Claimant(s): Matthew Ciaramella
Claimant Lawyers(s): Matthew J. Ciaramella
Respondent(s): Putnam Retail Management Ltd. Partners
Respondent Lawyers(s): Jason S. Pinney
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
| | |
