| 22-01674 | 07/26/2023 | Claimant(s): Carolyn Catlin, Stephen Wintermeier, Fenway Financial Advisors
Claimant Lawyers(s): David J. Freniere
Respondent(s): Ashleigh Swayze, Swayze LLC
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Mary E. Bassett, Linda Luke Lee, Marjorie Ann Butler
Hearing Site: Boston, MA
| | |
| 22-01025 | 05/08/2023 | Claimant(s): Kenneth Woodfield, Michael Shain
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Howard N. Gorney, Mary E. Bassett, John George Neylon
Hearing Site: Boston, MA
|  | $0 |
| 21-01567 | 05/25/2022 | Claimant(s): Sandhya Kalkunte
Claimant Lawyers(s): Sandhya Sandy Kalkunte
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
| | |
| 20-01506 | 03/17/2021 | Claimant(s): Timothy Nolan
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
| | |
| 18-03788 | 09/17/2020 | Claimant(s): Wilfred & Virginia Suozzo
Claimant Lawyers(s): Bradford M Gucciardo
Respondent(s): Elizabeth Ryan, TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
| | $0 |
| 19-02150 | 04/09/2020 | Claimant(s): Amy Loughran
Claimant Lawyers(s): Walter J. Korzeniowski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
| | |
| 18-02115 | 01/18/2019 | Claimant(s): Jason Traino
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
| | |
| 17-02035 | 11/20/2018 | Claimant(s): Kenneth Ebbe
Claimant Lawyers(s): Blake Godbout
Respondent(s): Jill Cody, Richard Cody, Concorde Investment Services, Westminster Financial Advisory Corp., Westminster Financial Securities.
Respondent Lawyers(s): Gerry J. Kowalski, Jill M. Cody, Joseph S. Simms, Richard Grant Cody
Arbitrator(s): James R. Collins, Christine R. Fitzgerald, Mary E. Bassett
Hearing Site: Boston, MA
| | $286,096 |
| 17-02107 | 04/11/2018 | Claimant(s): Richard Bellew
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc., Moors & Cabot.
Respondent Lawyers(s): Jeremy S. Winer, Michael C. Fee
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
| | |
| 16-00135 | 06/15/2017 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): V. Justin Arpey
Respondent(s): Daniel Caso
Respondent Lawyers(s): AiVi Nguyen
Arbitrator(s): Edward Joseph Boudreau, Frank Sanclemente, Mary E. Bassett
Hearing Site: Boston, MA
| | |
