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 |
16-00652 | 05/04/2017 | Claimant(s): Gary Masi Claimant Lawyers(s): Adam Gana Respondent(s): Longship Alternative Asset Management, Tradition Asiel Securities Inc. Respondent Lawyers(s): Donald N. Cohen, Martin P. Unger Arbitrator(s): Steven R. Rolnick, Sean Michael Peoples, Mae A. Brudner Hearing Site: Hartford, CT
| | Dismissed by Rule 12504 |
16-01211 | 05/02/2017 | Claimant(s): Sid Ironson Claimant Lawyers(s): Sid Ironson Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Dale S. Cronnell, Sean Michael Peoples, Sean Alan D'Amico Hearing Site: Hartford, CT
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09-01490 | 07/09/2010 | Claimant(s): Connecticut College Claimant Lawyers(s): James T. Shearin Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Victor A. Machcinski Arbitrator(s): June Y. Kilmarx, Sean Michael Peoples, James J. Gadarowski Hearing Site: New London, CT
| | $363,503 |