| 17-03106 | 03/20/2020 | Claimant(s): Randy O'Brien, William O'Brien, Randy O'Brien owner ROTH IRA, Randy O'Brien owner Traditional IRA, William F. O'Brien, Jr. owner ROTH IRA, Randy and William Francis O'Brien, Randy O'Brien Trust, Seth E. Ellis Esq. The O'Brien Family, Seth E. Ellis The O'Brien Family Irrevoc, The O'Brien Family Irrevocable Life Insu, The O'Brien Family Irrevocable Trust, Jr. Trust, 529 Plan FBO Conor O'Brien UTMA, 529 Plan FBO Molly O'Brien UTMA, MSB FBO WR Acquisitions, L.P. - WR Asset, WR Acquisitions LP WR Asset Management, WR Asset Management
Claimant Lawyers(s): Brian M. Haney
Respondent(s): Morgan Stanley, Jonathan Lonske
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): John Joseph Cotter, Andrea J. Goldman, Steven S. Manos
Hearing Site: Boston, MA
|  | $0 |
| 16-00301 | 09/01/2017 | Claimant(s): Kathryn Thatcher
Claimant Lawyers(s): Timothy J. Perry
Respondent(s): Charles Marvin, Morgan Stanley, Richard Hartnett
Respondent Lawyers(s): Lisa B. Dodge, Neil S. Baritz
Arbitrator(s): John Joseph Cotter, Joseph Charles Kennedy, Thomas Matthew Madden
Hearing Site: Boston, MA
| | Expungement |
| 11-02084 | 09/27/2012 | Claimant(s): Richard Dumont
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael H. Gibson
Arbitrator(s): Sandor I. Rabkin, John Joseph Cotter, Frank Sanclemente
Hearing Site: Boston, MA
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| 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 |
| 09-04153 | 07/28/2010 | Claimant(s): Daniel Hanover
Claimant Lawyers(s): Laurie Alexander-Krom
Respondent(s): Cowen & Company
Respondent Lawyers(s): Lloyd S Clareman
Arbitrator(s): Robert J. Ambrogi, Thomas J. Donoghue, John Joseph Cotter
Hearing Site: Boston, MA
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| 09-04798 | 05/07/2010 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): David Lu
Respondent Lawyers(s): David D. Lu
Arbitrator(s): Sandor I. Rabkin, John Joseph Cotter, Alicia J. Reines-Leo
Hearing Site: Boston, MA
| | $0 |
| 08-03941 | 02/24/2010 | Claimant(s): Leerink Swann LLC
Claimant Lawyers(s): David C. Casey
Respondent(s): Martin Joyce
Respondent Lawyers(s): Thomas J. Butters
Arbitrator(s): John A. Goc, Pete S. Michaels, John Joseph Cotter
Hearing Site: Boston, MA
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| 08-04177 | 12/15/2009 | Claimant(s): Henry Bendikian and Sheila Bendikian
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): June Y. Kilmarx, John Joseph Cotter, Michael Jay Rich
Hearing Site: Boston, MA
| | $0 |
| 08-02086 | 07/01/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Peter Dolan
Respondent Lawyers(s): Robert A. Boncore
Arbitrator(s): Dallas Whitney Coffman, Stephen Z. Frank, John Joseph Cotter
Hearing Site: Boston, MA
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| 07-03246 | 02/09/2009 | Claimant(s): Roger Coyle
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Gerald H. Powers, John Joseph Cotter, Zenon Charles Tencza
Hearing Site: Boston, MA
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