| 15-02083 | 02/01/2017 | Claimant(s): Paul Kaplan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): David Dyer, Alliance Affiliated Equities Corporation
Respondent Lawyers(s): David Freniere
Arbitrator(s): Sandor I. Rabkin, Byron Alexander Menides, Nickolas F. Monteforte
Hearing Site: Boston, MA
|  | $0 |
| 16-00164 | 09/27/2016 | Claimant(s): Timothy Davis
Claimant Lawyers(s): Deborah Gale Evans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Scott K. Shaw, Nickolas F. Monteforte, John Francis Markuns
Hearing Site: Boston, MA
| | |
| 14-01159 | 10/22/2015 | Claimant(s): Roberta Heid
Claimant Lawyers(s): Matthew R. Skolnik
Respondent(s): Jeremy Lambert, Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Marian Smith Glenn, Nickolas F. Monteforte, Jan Elaine Christopher
Hearing Site: Wilmington, DE
| | Expungement |
| 12-00889 | 03/13/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Roger Coe
Respondent Lawyers(s): Scot Schneiderman
Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Joseph C. Tully
Hearing Site: Boston, MA
| | |
| 13-03113 | 02/26/2015 | Claimant(s): Peter Cushing
Claimant Lawyers(s): Todd Zuckerbrod
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Ericka B. Gray, Nickolas F. Monteforte, Jennifer Goodreau Gonzalez
Hearing Site: Boston, MA
| | |
| 13-00988 | 06/16/2014 | Claimant(s): Michael Bombardier
Claimant Lawyers(s): Christine E. Goodrich
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Robert H. Watts, Nickolas F. Monteforte, Joseph Charles Kennedy
Hearing Site: Montpelier, VT
| | |
| 13-00523 | 03/03/2014 | Claimant(s): Donald Landry
Claimant Lawyers(s): Sigmund D. Schutz
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Nickolas F. Monteforte, John J. Mager, Andrew Peter Maneval
Hearing Site: Manchester, NH
| | $124,904 |
| 12-00628 | 01/24/2013 | Claimant(s): Gail Jefferson IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): LPL Financial LLC, Paul Fitzpatrick
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): John A. Morin, Nickolas F. Monteforte, Susan E. Maloney
Hearing Site: Boston, MA
| | Expungement |
| 10-04064 | 06/06/2012 | Claimant(s): Warren Messier
Claimant Lawyers(s): Bruce A. Assad
Respondent(s): Henry Mello, Banc of America Investment Services Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): John Joseph Cotter, Nickolas F. Monteforte, Joseph Charles Kennedy
Hearing Site: Providence, RI
| | $0 |
| 10-03549 | 07/13/2011 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Andrew T. Solomon
Respondent(s): Martin Joyce
Respondent Lawyers(s): Megan E. Perrotta
Arbitrator(s): Chesley Oriel, William S. Tagerman, Nickolas F. Monteforte
Hearing Site: Boston, MA
| | |
