| 11-02600 | 01/05/2012 | Claimant(s): Gerald Paquette
Claimant Lawyers(s): Thomas P. Wilcutts
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Peter W. Gilles
Arbitrator(s): B. J. Krintzman, David B. Beizer, John Thomas Shaban
Hearing Site: Hartford, CT
|  | Expungement |
| 09-06108 | 04/07/2011 | Claimant(s): Douglas J. Beach and Margaret A. Beach
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Roger L. Crossland, John Thomas Shaban, Houston Putnam Lowry
Hearing Site: Hartford, CT
| | Expungement |
| 10-03020 | 01/14/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): David LaMay, Essex Financial Services.
Respondent Lawyers(s): Richard Slavin, Robert A. Richardson
Arbitrator(s): Charles Franklin Willson, John Thomas Shaban, Edward Allison Downe
Hearing Site: Hartford, CT
| | |
| 06-04719 | 10/23/2008 | Claimant(s): Robert Grimm, William Featherston
Claimant Lawyers(s): Robert H. Grimm
Respondent(s): CBA Securities LLC
Respondent Lawyers(s): Joseph Nocella
Arbitrator(s): John Thomas Shaban
Hearing Site: Hartford, CT
| | |
