| 12-00601 | 01/16/2014 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): David G. Russell
Respondent(s): Ian Lowitt, Martin Courage, Mitchell Cox, Preston McSwain, Stephen Houston, Thomas Kalaris, Barclays Bank PLC
Respondent Lawyers(s): David G. Russell, Lisa G. Arrowood
Arbitrator(s): Christine Armstrong, Tom L. Peterson, Steven S. Manos
Hearing Site: Boston, MA
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| 10-04306 | 01/23/2012 | Claimant(s): Candace Roderick, Kayla Ann Roderick Trust, Olive M. Larwrence Trust
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Mary C. Kelleher, Christine Armstrong, James R. Collins
Hearing Site: Boston, MA
|  | Expungement |
| 09-01681 | 11/30/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bernard Cerrone
Respondent Lawyers(s): Bernard John Cerrone
Arbitrator(s): Christine Armstrong, Michael L. Letendre, John B. Dew
Hearing Site: Augusta, ME
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