| 19-03772 | 01/09/2023 | Claimant(s): Joshua Heapes
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Chad Troester, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher S. Koller
Arbitrator(s): Nelson P. Lovins, Denise L. Presley, Michael P. Breton
Hearing Site: Boston, MA
| | |
| 20-02451 | 04/19/2021 | Claimant(s): Brian Thomas
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael P. Breton
Hearing Site: Boston, MA
| | |
| 20-02141 | 01/26/2021 | Claimant(s): Mary McDonald
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Michael P. Breton
Hearing Site: Boston, MA
| | |
| 20-00563 | 09/14/2020 | Claimant(s): John Zitzmann
Claimant Lawyers(s): Kurt T Kalberer
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand, Anthony Paduano
Arbitrator(s): Michael P. Breton
Hearing Site: Boston, MA
| | |
| 20-01006 | 07/09/2020 | Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Louis M. Ciavaarra
Respondent(s): Paul Stanford
Respondent Lawyers(s): Paul Stanford
Arbitrator(s): Michael P. Breton
Hearing Site: Boston, MA
| | |
| 19-01052 | 10/22/2019 | Claimant(s): Joshua Kampf, Thomas Hutchison
Claimant Lawyers(s): Joel Wertman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert Titus, Richard Hallett Nichol, Michael P. Breton
Hearing Site: Hartford, CT
| | |
| 17-01868 | 09/13/2018 | Claimant(s): Ginger Chapin, Lionel Dupont, Steven Dupont, Eva M. Duponte Revocable Trust, Lionel V. Duponte Revocable Trust
Claimant Lawyers(s): Ginger Dupont
Respondent(s): Pruco Securities., MML Investors Services
Respondent Lawyers(s): Andrew S. Azarmi, Julie E. Ravis
Arbitrator(s): Robert Titus, Catherine Stewart, Michael P. Breton
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206 |
| 17-01417 | 06/22/2018 | Claimant(s): Candida Heffernan, Estate of Thomas Heffernan
Claimant Lawyers(s): Deanna Besbekos-LaPage
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Michael J. McNeil, Michael P. Breton, Thomas Joseph Regan
Hearing Site: Hartford, CT
| | $0 |
| 12-01821 | 11/24/2015 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): David W. Schmidt
Respondent(s): Denise Yuu
Respondent Lawyers(s): Anthony R. Minchella
Arbitrator(s): John B. Dew, Mary Elizabeth Satran, Michael P. Breton
Hearing Site: Hartford, CT
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