| 17-01235 | 11/07/2017 | Claimant(s): James Moniz
Claimant Lawyers(s): Peter F. Flynn
Respondent(s): Essex Securities LLC
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Arthur J. Giacomarra
Hearing Site: Boston, MA
| | |
| 14-00755 | 05/24/2016 | Claimant(s): Kiranya Tipirneni, Prabhakar Tipirneni
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Charles White, Wilson Saville, Barrett & Company
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Gerard S. Marsan, Paul A. Auerbach, Amy Lampert
Hearing Site: Providence, RI
|  | $267,890 |
| 15-02383 | 03/11/2016 | Claimant(s): Mihai Szabo, MBS Source ETrading.
Claimant Lawyers(s): Mihai Szabo
Respondent(s): Ridgeway & Conger.
Respondent Lawyers(s): David A. Conti
Arbitrator(s): William Michael Samsel
Hearing Site: Seattle, WA
| | |
| 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
| | |
| 13-02324 | 08/13/2014 | Claimant(s): East Boston Central Catholic School
Claimant Lawyers(s): David A. Conti
Respondent(s): Detwiler Fenton & Co., Detwiler Fenton Wealth Management Inc
Respondent Lawyers(s): Michael C. Moran
Arbitrator(s): John B. Kinsellagh
Hearing Site: Boston, MA
| | Expungement |
| 13-01198 | 05/19/2014 | Claimant(s): Estate of Ardelle M. Correa
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Charles White, Barrett & Company
Respondent Lawyers(s): David A. Conti
Arbitrator(s): John B. Kinsellagh, Stephen M. Acerra, Nancy E. Watters
Hearing Site: Boston, MA
| | $0 |
| 12-03532 | 10/21/2013 | Claimant(s): Harley Kaplan
Claimant Lawyers(s): Mehmet Baysan
Respondent(s): Compass Securities Corporation
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
| | |
| 09-05786 | 10/13/2011 | Claimant(s): Harley Kaplan, Beta Industries.
Claimant Lawyers(s): Chesley Oriel
Respondent(s): Timothy Shanahan, Compass Capital Corporation, Compass Securities Corporation
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Joan Stearns Johnsen, William I. Carmen, Zenon Charles Tencza
Hearing Site: Boston, MA
| | |
| 09-03788 | 07/20/2010 | Claimant(s): David Gelerman
Claimant Lawyers(s): David A. Conti
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): William H. McCarter, Howard M. Miller, Pamela E. Berman
Hearing Site: Boston, MA
| | $232,441 |
