| 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
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| 20-03771 | 05/19/2023 | Claimant(s): Truist Investment Services.
Claimant Lawyers(s): John E. MacDonald
Respondent(s): John Davis
Respondent Lawyers(s): W. Wallace Respess
Arbitrator(s): Robert Neal Hunter
Hearing Site: Charlotte, NC
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| 13-01697 | 01/15/2016 | Claimant(s): Jean Marie Hart, Michael Hearn, Genesse Capital Advisors
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): David S. Billet, Patrick M. Markey, Peter A.P. Dunlop
Hearing Site: Syracuse, NY
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| 13-03059 | 01/15/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Michael Hearn
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s):
Hearing Site: Syracuse, NY
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| 13-00294 | 02/02/2015 | Claimant(s): Jameson Hamilton, Jeffrey Sciscilo, Jennifer Reiley, Joshua Goulding, McLaughlin Ryder Advisory Services, McLaughlin Ryder Investments.
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Kelly Campbell, Campbell Financial Management., Campbell Wealth Management.
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Emily Eiselman Hunter, Robert Vaughan Cornish, Robert Field
Hearing Site: Washington, DC
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| 12-00369 | 12/12/2014 | Claimant(s): Donald Hubbard
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Alan B. Goldstein, George H. Rausch, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
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| 11-02680 | 10/18/2012 | Claimant(s): Saundra Genoni
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Thomas Durkin
Respondent Lawyers(s): Amy M. Fritsky
Arbitrator(s): Mark H. Stein, Patrick R. Westerkamp, Esq., Timothy James Potero
Hearing Site: Philadelphia, PA
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| 09-05711 | 09/08/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen Gaster
Respondent(s): James Milnes
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): David S. Paul, Gregory Hunter Mathews, Robert Alan Mayer
Hearing Site: Philadelphia, PA
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| 10-01307 | 08/31/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Garner Mabry, Todd Schwartz
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Langdon T. Owen, Charles G. Michaels, William A. Stephenson
Hearing Site: Denver, CO
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| 10-01344 | 06/23/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Elliott Wislar
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Greg Plifka, Bertrand M. Lanchner, Bryan David Glass
Hearing Site: Newark, NJ
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