| 20-01625 | 10/17/2023 | Claimant(s): Prakash Shukla
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Stephen M. Acerra, Denise L. Presley, Jeremy M. Bloomenthal
Hearing Site: Boston, MA
|  | Expungement |
| 12-02070 | 12/09/2013 | Claimant(s): Kenneth Burton, Michelle Burton, Burton Construction.
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Michael J. Sullivan
Arbitrator(s): Malcolm T. Cleland
Hearing Site: Cheyenne, WY
| | Expungement |
| 10-00429 | 10/29/2010 | Claimant(s): Estate of Steven Harris
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): J. B. Hanauer & Co., RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Edith M. Novack, Douglas S. Abel, Roland E. Wyatt
Hearing Site: Newark, NJ
| | |
| 08-01656 | 05/19/2009 | Claimant(s): Barry Liben
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Christopher M. Burky
Arbitrator(s): Charles L. Prothero, Douglas John Baumann, Robert Philip Mather
Hearing Site: Newark, NJ
| | $16,205 |
