22-01942 | 04/09/2024 | Claimant(s): John Enderle, Marguerite Enderle, Nicholas Salerno Claimant Lawyers(s): Joshua Kons Respondent(s): Michael Dworetsky, Ages Financial Services, Ltd. Respondent Lawyers(s): Kirsten Patzer Arbitrator(s): Steven R. Rolnick, John J. Mager, Patrick Leo Kennedy Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
23-01435 | 12/12/2023 | Claimant(s): Jeffrey Hill Claimant Lawyers(s): Robert Jay Moses Respondent(s): American Portfolios Financial Srvs. Respondent Lawyers(s): Craig Vollono Arbitrator(s): John J. Mager Hearing Site: Albany, NY
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22-02132 | 10/26/2023 | Claimant(s): Melvin Holson Claimant Lawyers(s): Marc S. Gottlieb Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Roger Fox Respondent Lawyers(s): Kathryn B. Rockwood Arbitrator(s): Judith C. Zerden, John J. Mager, Paul Smith Besson Hearing Site: New York, NY
| | $0 |
22-00025 | 02/24/2023 | Claimant(s): Kevin Carroll Claimant Lawyers(s): Kevin Joseph Carroll Respondent(s): LPL Financial LLC Respondent Lawyers(s): Matthew Bohenek Arbitrator(s): John J. Mager, Robert M. Singer, Karen Kim Hearing Site: Hartford, CT
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20-00885 | 12/28/2022 | Claimant(s): Jason Goodhue Claimant Lawyers(s): Michael T. McCormack Respondent(s): Christopher Berris, Buell Securities Corp. Respondent Lawyers(s): Richard Slavin Arbitrator(s): John J. Mager, Benjamin H. Green, John Michael Bergin Hearing Site: Hartford, CT
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22-00764 | 11/16/2022 | Claimant(s): Ralph Giansanti Claimant Lawyers(s): Richard Slavin Respondent(s): Harvest Capital LLC Respondent Lawyers(s): Ralph Giansanti Arbitrator(s): John J. Mager, Richard Hallett Nichol, Jud Perkins Hearing Site: Hartford, CT
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18-00229 | 07/28/2022 | Claimant(s): Estate of Elaine Falcigno Claimant Lawyers(s): Edmund Polubinski Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co.. Respondent Lawyers(s): Edwin A. Zipf Arbitrator(s): Robert L. Chase, John J. Mager, April C. Teveris Hearing Site: Hartford, CT
| | $0 |
21-00127 | 02/02/2022 | Claimant(s): Benjamin Bassi Claimant Lawyers(s): David B. Vermont Respondent(s): William Bradley Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): John J. Mager Hearing Site: Manchester, NH
| | $0 |
19-02867 | 04/05/2021 | Claimant(s): Michael Reis Claimant Lawyers(s): Sheilah R. McLaughlin Respondent(s): LPL Financial LLC Respondent Lawyers(s): John D. Stewart Arbitrator(s): Michael L. Lyons, Gregory Hunter Mathews, John J. Mager Hearing Site: Augusta, ME
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17-03193 | 03/14/2019 | Claimant(s): Michael Potts Claimant Lawyers(s): Bradley Schnur Respondent(s): Michael Freeman, Legend Securities. Respondent Lawyers(s): Michael Edgar Freeman, Salvatore C. Caruso Arbitrator(s): John J. Mager Hearing Site: Hartford, CT
| | $67,361 |