| 18-00230 | 09/30/2019 | Claimant(s): David Falcigno
Claimant Lawyers(s): Edmund Polubinski
Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Robert R. Barker, Robert L. Chase, Catherine M. Gallagher
Hearing Site: Hartford, CT
|  | $29,337 |
| 17-02102 | 06/12/2018 | Claimant(s): Joseph Grusczak, William DeGraff, Joseph Grusczak IRA, William DeGraff IRA
Claimant Lawyers(s): Jeffrey Hellman
Respondent(s): Oppenheimer & Co.., Richard Baum, Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward, Ralph Izzo
Arbitrator(s): Robert L. Chase, Ira A. Auerbach, David R. Foley
Hearing Site: Hartford, CT
| | Expungement |
| 17-00506 | 07/25/2017 | Claimant(s): Larisa Gromyko
Claimant Lawyers(s): Larisa Gromyko
Respondent(s): Jason Boothroyd, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Lauren A. Stagnone
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $21,775 |
| 14-03047 | 08/24/2015 | Claimant(s): Christopher Monks
Claimant Lawyers(s): Christopher E. Monks
Respondent(s): Henry Zakharian, E*Trade Securities LLC, Justin Hunter
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $0 |
| 13-02469 | 05/07/2015 | Claimant(s): Scott Buonopane
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Tommy Belesis
Respondent Lawyers(s): Anthony C. Varbero
Arbitrator(s): Robert L. Chase, John Klinetob, Frederick J. Myers
Hearing Site: Manchester, NH
| | $0 |
| 12-01721 | 04/20/2015 | Claimant(s): Ronald Delmonico, Ronald G. Delmonico, IRA
Claimant Lawyers(s): Vito C. DeMaio
Respondent(s): Anastasios Belesis, Ronald Cantalupo, John Thomas Financial
Respondent Lawyers(s): Anastasios Belesis, Maria Cummings, Ronald Vincent Cantalupo
Arbitrator(s): Francis J. Pavetti, Robert L. Chase, Charles W. Danis
Hearing Site: Hartford, CT
| | Stipulated Award |
| 14-01079 | 10/16/2014 | Claimant(s): Michael Korbel
Claimant Lawyers(s): Michael Korbel
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $0 |
| 11-01592 | 06/19/2013 | Claimant(s): Kevin Carey
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): ING Financial Advisers
Respondent Lawyers(s): David R. Jiminez
Arbitrator(s): Barry Quint, Lewis S. Kurlantzick, Robert L. Chase
Hearing Site: Hartford, CT
| | |
| 09-05763 | 05/21/2010 | Claimant(s): Preston A. Reed 2000 Trust
Claimant Lawyers(s): Preston A. Reed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert L. Chase
Hearing Site: Manchester, NH
| | $6,139 |
| 09-04950 | 02/23/2010 | Claimant(s): Jean Kenny
Claimant Lawyers(s): Jean Ann Kenny
Respondent(s): Russell Salerno, ICMA-RC Services
Respondent Lawyers(s): B. James Rohrbacher
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $6,927 |
