| 21-02945 | 06/17/2022 | Claimant(s): Eric Rosenberg
Claimant Lawyers(s): Eric A. Bensky
Respondent(s): GW & Wade Asset Management Company
Respondent Lawyers(s): Matthew G. Valentine
Arbitrator(s): Gerard S. Marsan, Howard N. Gorney, John R. Snyder
Hearing Site: Boston, MA
| | |
| 21-00461 | 11/11/2021 | Claimant(s): Lloyd Glazer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 20-02149 | 03/04/2021 | Claimant(s): Jeremy Benoit
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): John Hancock Mutual Life Insurance Co.
Respondent Lawyers(s): William A. Gottlieb
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 20-02330 | 03/04/2021 | Claimant(s): Richard Cella
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Arthur J. Giacomarra, Sharon L. Monroe, Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 20-01820 | 01/29/2021 | Claimant(s): Douglas Padden
Claimant Lawyers(s): Stephan Louviere
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 20-00484 | 09/18/2020 | Claimant(s): John Ohl
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gleacher & Company Securities.
Respondent Lawyers(s): Annis Kwok
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 19-03522 | 06/24/2020 | Claimant(s): C Hoilman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MHA Financial Corp.
Respondent Lawyers(s): William Hoilman
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 19-00773 | 10/29/2019 | Claimant(s): Frank Congemi
Claimant Lawyers(s): Katie Lynn Zorc
Respondent(s): Barbara Nason
Respondent Lawyers(s): Barabara Nason
Arbitrator(s): Debra M. Brown, Ericka B. Gray, Howard N. Gorney
Hearing Site: Boston, MA
|  | Expungement |
| 18-04192 | 08/12/2019 | Claimant(s): Kenneth Ebbe
Claimant Lawyers(s): John A. Mangones
Respondent(s): Donald Gunn, Richard Frueh, Leerink Partners LLC
Respondent Lawyers(s): Burton W. Wiand, David H. Jarvis, Lloyd S. Clareman
Arbitrator(s): Howard N. Gorney, Gene M. Bauer, Peter M Cosel
Hearing Site: Boston, MA
| | Dismissed by Rule 12206/12504 |
| 18-01405 | 02/26/2019 | Claimant(s): Estate of Richard Provost its Trustee
Claimant Lawyers(s): Michael A. Collora
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): David Ward
Arbitrator(s): Howard N. Gorney, Nadine Nasser Donovan, John Michael D'Amico
Hearing Site: Boston, MA
| | $115,780 |
