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FINRA Awards for Peter R. Pendergast

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0077412/15/2016Claimant(s): George Farr, David P. Farr 2008 Revocable Trust, George I. Farr Revocable Trust, George I. Farr 2011 Irrevocable Trust, Judith A. Farr Revocable Trust, Norene Farr 2008 Revocable Trust
Claimant Lawyers(s): Peter R. Pendergast
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Eugene Tenenbaum, Sharon L. Monroe, John James McGovern
Hearing Site: Manchester, NH
Checkmark IconExpungement
13-0189705/29/2015Claimant(s): Leerink Swann LLC
Claimant Lawyers(s): Peter A. Brown
Respondent(s): Scott Price
Respondent Lawyers(s): Peter R. Pendergast
Arbitrator(s): John B. Kinsellagh
Hearing Site: Boston, MA
09-0280001/20/2012Claimant(s): James Minchello, Martha Sullivan, Robert Minchello
Claimant Lawyers(s): Peter R. Pendergast
Respondent(s): Citigroup Global Markets., Citigroup.
Respondent Lawyers(s): Michele A. Coffey
Arbitrator(s): Jack A. Marshall, Susan E. Maloney, Joseph Charles Kennedy
Hearing Site: Boston, MA

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