| 12-02619 | 08/22/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Dowd
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Kelly M. Lonergan, Michael L. Letendre, James R. Collins
Hearing Site: Boston, MA
| | |
| 13-00721 | 08/28/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken S. Massey
Respondent(s): Michael Jilling
Respondent Lawyers(s): Michael Jilling
Arbitrator(s): Kelly M. Lonergan
Hearing Site: Providence, RI
| | |
| 12-04100 | 07/08/2013 | Claimant(s): John Saint-Amour
Claimant Lawyers(s): David H. Gibbs
Respondent(s): Daniel Ball, Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Kelly M. Lonergan
Hearing Site: Boston, MA
|  | $0 |
| 11-01900 | 11/28/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Paul Kapur
Respondent Lawyers(s): Paul K. Kapur
Arbitrator(s): Jack A. Marshall, Kelly M. Lonergan, John J. Kenny
Hearing Site: Boston, MA
| | |
| 12-01738 | 10/19/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Harry Davis
Respondent Lawyers(s): Patrick J. Dolan
Arbitrator(s): Kelly M. Lonergan
Hearing Site: Boston, MA
| | |
| 09-04735 | 06/29/2011 | Claimant(s): Karl Hahn
Claimant Lawyers(s): Karl Edward Hahn
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Andrew T. Solomon
Arbitrator(s): Kelly M. Lonergan, Michael L. Letendre, Gene M. Bauer
Hearing Site: Boston, MA
| | |
| 09-04893 | 11/11/2010 | Claimant(s): Marc Curtis
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Thomas Bartholomew, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Colette Manoil, Kelly M. Lonergan, Dennis M. Cronin
Hearing Site: Boston, MA
| | $0 |
| 10-01890 | 10/26/2010 | Claimant(s): Cantella & Co..
Claimant Lawyers(s): George W. Mann
Respondent(s): Thomas Battista
Respondent Lawyers(s): Thomas John Battista
Arbitrator(s): Kelly M. Lonergan
Hearing Site: Boston, MA
| | |
| 09-05044 | 10/08/2010 | Claimant(s): Alan Biren, John Tucker
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Kelly M. Lonergan, Patrick W. McKeon, John J. Kenny
Hearing Site: Boston, MA
| | $1,085,600 |
| 08-00912 | 10/27/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Michael McAllister
Respondent(s): Albert Lowenthal
Respondent Lawyers(s): Michael McAllister
Arbitrator(s): Kelly M. Lonergan, Sharon L. Monroe, B. J. Krintzman
Hearing Site: Boston, MA
| | |
