| 10-02869 | 11/14/2011 | Claimant(s): Paula Fives-Taylor
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Charles DinklageL Financial LLC, AXA Advisors
Respondent Lawyers(s): Brian J. Palmeri, Eilott R Good
Arbitrator(s): Elizabeth K. Norsworthy, Albert J. Cirone, Jack B. Golden
Hearing Site: Montpelier, VT
|  | Expungement |
| 09-05813 | 10/25/2011 | Claimant(s): Robert Hall and Helen Hall
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Timothy Kelly
Respondent Lawyers(s): Timothy Llewellyn Kelly
Arbitrator(s): Brian J. Dunn, Jack B. Golden, Mary Elizabeth Satran
Hearing Site: Hartford, CT
| | $89,250 |
| 10-01951 | 05/27/2011 | Claimant(s): Richard K. Lublin and Jane E. Lublin Rev
Claimant Lawyers(s): Edward R. Scofield
Respondent(s): Geoffrey Karp, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Burton Wayne Cox
Arbitrator(s): Samuel H. Chorches, Harvey Casher, Jack B. Golden
Hearing Site: Hartford, CT
| | Expungement |
| 09-01179 | 09/28/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tricia Landry
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Roger L. Crossland, Steven R. Rolnick, Jack B. Golden
Hearing Site: Hartford, CT
| | |
| 09-02038 | 12/22/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kevin Carroll
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Jack B. Golden
Hearing Site: Hartford, CT
| | |
| 08-00485 | 10/17/2008 | Claimant(s): Deborah Galarneau
Claimant Lawyers(s): Rufus E. Brown
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Shari B. Broder, Deborah B. Haskell, Jack B. Golden
Hearing Site: Boston, MA
| | |
| 08-00320 | 08/15/2008 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): Johan Leffler
Respondent Lawyers(s): Johan W. Leffler
Arbitrator(s): Jack B. Golden
Hearing Site: Hartford, CT
| | |
