| 20-03811 | 12/22/2021 | Claimant(s): Matthew Soja, Sharon Soja
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Eric Hogarth, Joel Johnson, Silver Oak Securities.
Respondent Lawyers(s): Chris G. Lazarini, Theodore Snyder
Arbitrator(s): Steven R. Rolnick, William D. Stempel, Paul Smith Besson
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206 |
| 19-03286 | 04/12/2021 | Claimant(s): Arun Virick, Michael Fishman, Nazim Lokhandwala, Steven Rothstein, Tom Nolan, Veronica Marano, Entrust Group Inc FBO David W Rackiewicz, Provident Trust Group LLC FBO Eran Cohen, Cushman Family Trust, Terran Holding Company
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Larry Cohen
Respondent Lawyers(s): Robert I. Rabinowitz
Arbitrator(s): Thomas D. Giordano, Ira A. Auerbach, David J. Weisenfeld
Hearing Site: New York, NY
| | Expungement |
| 17-00081 | 05/08/2018 | Claimant(s): D'Amato Family Living Trust
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): David Remigino, Buell Securities Corp.
Respondent Lawyers(s): Richard Slavin
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Hartford, CT
| | $0 |
| 17-00831 | 03/23/2018 | Claimant(s): Wayne Magao
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Adam Saper
Arbitrator(s): Gerard S. Marsan, Catherine Stewart, Jud Perkins
Hearing Site: Providence, RI
| | Expungement |
| 16-02158 | 01/24/2017 | Claimant(s): Sandra Petrone
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Steven T. Stern
Hearing Site: Hartford, CT
| | $0 |
| 12-03256 | 10/02/2013 | Claimant(s): Sondra Schneider
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Alun Hywel Jones, David B. Beizer, Charles W. Danis
Hearing Site: Hartford, CT
| | Expungement |
| 10-02089 | 05/23/2013 | Claimant(s): Denise Balisciano, Edmund Balisciano
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): James Rapuano
Respondent Lawyers(s): James Michael Rapuano
Arbitrator(s): Brian J. Dunn
Hearing Site: Hartford, CT
| | $79,719 |
| 12-00207 | 04/02/2013 | Claimant(s): John Cohane, Neal Cohane
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Andrew Shapiro, Donald Hunter, Gregory Martino, Tatyana Andreyeva, Westrock Advisors.
Respondent Lawyers(s): Andrew Jay Shapiro, Donald Horton Hunter, Gregory Marcel Martino, Louis J. Rich, Tatyana Andreyeva
Arbitrator(s): Lincoln W. Craighead, Stewart F. Kleinman, Eileen Devaney Leo
Hearing Site: Hartford, CT
| | $0 |
| 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 |
| 10-04129 | 09/20/2011 | Claimant(s): Nua Shala, ARI International., ORA Business Services.
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Silva
Respondent Lawyers(s): Matthew C. Applebaum, Robert Scott Silva
Arbitrator(s): Vicki Z. Holleman, Judith Fields Jurney, Lincoln W. Craighead
Hearing Site: New York, NY
| | $0 |
