| 20-03811 | 12/22/2021 | Claimant(s): Matthew Soja, Sharon Soja
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Eric Hogarth, Joel Johnson, Silver Oak Securities.
Respondent Lawyers(s): Chris G. Lazarini, Theodore Snyder
Arbitrator(s): Steven R. Rolnick, William D. Stempel, Paul Smith Besson
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206 |
| 19-00433 | 02/25/2020 | Claimant(s): Barbara Dierolf, Margaret Ragozzino, Barbara K. Dierolf Trust, Ruth Kunin Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Robert Delbuono, Money Concepts Capital Corp
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Sean Michael Peoples, Paul Smith Besson, Catherine M. Gallagher
Hearing Site: Hartford, CT
| | Expungement |
| 17-01008 | 04/19/2018 | Claimant(s): Cat Trail Capital LLC
Claimant Lawyers(s): Ira Belsky
Respondent(s): Mark Martino, Axiom Capital Management.
Respondent Lawyers(s): Mark J. Hyland
Arbitrator(s): Paul Smith Besson, Charles W. Danis, James Rosenblum
Hearing Site: Hartford, CT
| | $0 |
| 16-00123 | 03/27/2018 | Claimant(s): Gary Helbling
Claimant Lawyers(s): Richard Slavin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jeffrey A. Fritz
Arbitrator(s): Diane Ciccone, Paul Smith Besson, Richard Hallett Nichol
Hearing Site: Hartford, CT
| | |
| 17-01309 | 02/09/2018 | Claimant(s): Christopher Metcalf
Claimant Lawyers(s): David Erez Dobin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Marissa A. Santangelo, Edward W. Morris, Paul Smith Besson
Hearing Site: Hartford, CT
| | |
| 12-03049 | 09/24/2014 | Claimant(s): Madeleine Perricone
Claimant Lawyers(s): Madeleine Perricone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Kenneth Dymond, Paul Smith Besson, Charles W. Danis
Hearing Site: Hartford, CT
| | Expungement |
