| 24-00115 | 09/18/2024 | Claimant(s): Sandra Rose
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Caitlin P. Cascino
Arbitrator(s): Peter M Cosel
Hearing Site: Hartford, CT
| | |
| 23-02322 | 01/19/2024 | Claimant(s): Elisheva Defeo
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leslie Blickenstaff
Arbitrator(s): John Thomas Shaban, Edward S. Hill, Peter M Cosel
Hearing Site: Hartford, CT
| | |
| 22-01908 | 11/06/2023 | Claimant(s): Janice Mecca, Laurence Brown, Robert Mecca, Brown Family Maintenance Trust, Brown Revocable Trust, Donald M Brown Income Provider Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Andrea J. Goldman, Peter M Cosel, Stephen James McLaughlin
Hearing Site: Boston, MA
|  | $246,114 |
| 22-01166 | 06/05/2023 | Claimant(s): Timothy Hladik
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Edward W. Morris, Peter M Cosel, Jud Perkins
Hearing Site: Providence, RI
| | Dissmissed by Rule 12206/12504 |
| 20-01660 | 06/01/2022 | Claimant(s): Milton Smith, Cabot Smith, as Trustee
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J Matthew W. Haws
Arbitrator(s): Peter M Cosel, Patrick Sullivan, Gail Sillman
Hearing Site: Boston, MA
| | $0 |
| 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 |
| 18-03296 | 06/19/2019 | Claimant(s): Natasha Lessard
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Gerard Belfort
Arbitrator(s): Peter M Cosel
Hearing Site: Boston, MA
| | |
| 17-00422 | 03/22/2018 | Claimant(s): Hui Liao
Claimant Lawyers(s): Hui Z. Liao
Respondent(s): Andrew Flessel, Matthew Fraser, Melanie Hart, Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Joshua D. Jones, Kevin W. Clancy
Arbitrator(s): Michael J. McNeil, Susan E. Maloney, Peter M Cosel
Hearing Site: Boston, MA
| | $0 |
