21-02086 | 05/07/2024 | Claimant(s): Gerry Reardon Claimant Lawyers(s): Robert Loventhal Respondent(s): Glen Dowden, Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton, William A. Haddad Arbitrator(s): Howard N. Gorney, Stewart John Smith Hearing Site: Boston, MA
| | Expungement |
23-03050 | 05/06/2024 | Claimant(s): Gary Glockzin Claimant Lawyers(s): Zachary S. Knoblock Respondent(s): Crown Capital Securities, L.P. Respondent Lawyers(s): Jonathan L. French Arbitrator(s): Charles G. Michaels, Mary Margaret Bush, Howard N. Gorney Hearing Site: San Diego, CA
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23-00170 | 04/16/2024 | Claimant(s): David Pogorelc Claimant Lawyers(s): Christopher J. Major Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Andrew J. Melnick Arbitrator(s): Howard N. Gorney, Jeff Spears, Stephen James McLaughlin Hearing Site: Boston, MA
| | $0 |
23-02937 | 03/25/2024 | Claimant(s): Candida Bobonis Roig, Dario Ochoa Garcia, Franco Fullana, Lizzette Bobonis Roig Claimant Lawyers(s): David I. Hantman Respondent(s): Santander Securities LLC Respondent Lawyers(s): Sara L. Velez Santiago Arbitrator(s): Howard N. Gorney Hearing Site: Boston, MA
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23-03118 | 03/06/2024 | Claimant(s): Robert Driscoll, Sheila Driscoll Claimant Lawyers(s): Michael Hill Respondent(s): Martin Noonan Respondent Lawyers(s): Martin Noonan Arbitrator(s): Howard N. Gorney Hearing Site: Boston, MA
| | $63,825 |
23-00815 | 09/29/2023 | Claimant(s): Nathan Macdonald Claimant Lawyers(s): Samuel E. Cohen Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): David Feldstein Arbitrator(s): Samuel H. Chorches, Howard N. Gorney, John Francis Markuns Hearing Site: Augusta, ME
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21-01974 | 05/30/2023 | Claimant(s): Betty Sprague, Eric Orkin Claimant Lawyers(s): Meghan L. McElligott Respondent(s): Triad Advisors LLC, Lion Street Financial Respondent Lawyers(s): Gerry Kowalski, Kathy M. Klock Arbitrator(s): Edward W. Morris, Howard N. Gorney, Sean Michalski Hearing Site: Manchester, NH
| | Expungement |
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 |
22-00892 | 04/13/2023 | Claimant(s): Joseph Crespi Claimant Lawyers(s): Michael Bessette Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Howard N. Gorney Hearing Site: Providence, RI
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21-02760 | 02/10/2023 | Claimant(s): James Moniz Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Signator Investors. Respondent Lawyers(s): Justin Sacca Arbitrator(s): Howard N. Gorney Hearing Site: Boston, MA
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