| 20-02471 | 08/24/2022 | Claimant(s): Matthew Arbo
Claimant Lawyers(s): Robert G. Heim
Respondent(s): ProEquities.
Respondent Lawyers(s): Stephen C. Jackson
Arbitrator(s): Dallas Whitney Coffman, Richard W. Dissen, William Norton
Hearing Site: Augusta, ME
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| 11-00595 | 10/05/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill Clarke
Respondent(s): Hilary O'Malley, Kevin O'Malley
Respondent Lawyers(s): Hilary Elizabeth O'Malley, Kevin James O'Malley
Arbitrator(s): Dallas Whitney Coffman, Tom L. Peterson, William I. Carmen
Hearing Site: Boston, MA
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| 10-00632 | 03/21/2011 | Claimant(s): Karen Kim
Claimant Lawyers(s): Karen H. Kim
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Gabriel L. Williams
Arbitrator(s): Dallas Whitney Coffman, Samuel H. Chorches, Francis J. Pavetti
Hearing Site: Hartford, CT
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| 08-02559 | 04/08/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Allen Adams
Arbitrator(s): Robert Goldberg, Dallas Whitney Coffman, Patrick W. McKeon
Hearing Site: Boston, MA
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| 08-04338 | 09/15/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Andrew Prophet
Respondent Lawyers(s): Andrew Seafus Prophet
Arbitrator(s): Dallas Whitney Coffman
Hearing Site: Hartford, CT
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| 08-02086 | 07/01/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Peter Dolan
Respondent Lawyers(s): Robert A. Boncore
Arbitrator(s): Dallas Whitney Coffman, Stephen Z. Frank, John Joseph Cotter
Hearing Site: Boston, MA
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| 07-02997 | 01/28/2009 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Kevin O'Neil
Respondent Lawyers(s): Kevin P. O'Neil
Arbitrator(s): Dallas Whitney Coffman, Lane Steven Bucklan, James M Coakley
Hearing Site: Hartford, CT
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| 08-02500 | 01/13/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Sandra Pope
Respondent Lawyers(s): Sandra Pope
Arbitrator(s): Dallas Whitney Coffman
Hearing Site: Hartford, CT
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| 07-00078 | 08/01/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Peter Dolan
Respondent Lawyers(s): Peter C. Dolan
Arbitrator(s): Dallas Whitney Coffman, Andrew Scott Rogovin, Maxwell J. Mahoney
Hearing Site: Boston, MA
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