| 22-02151 | 05/02/2023 | Claimant(s): Dennis Karjanis
Claimant Lawyers(s): Craig A Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Philip S. Wellman, Peter E. Gillespie, David Adams Reif
Hearing Site: Hartford, CT
| | |
| 17-00820 | 06/25/2019 | Claimant(s): Joseph Scaniffe
Claimant Lawyers(s): David J. Freniere
Respondent(s): Anastasios Belesis, John Belesis, Marc Greenberg, Brookville Capital Partners, John Thomas Financial, Sterne, Agee & Leach.
Respondent Lawyers(s): Anthony Varbero, Gabriel Iezzoni, George D. Sullivan, Marc Greenberg, Maria Cummings, Seth Huberman
Arbitrator(s): Steven R. Rolnick, Philip S. Wellman, Mark Stuart Gurevitz
Hearing Site: Hartford, CT
|  | $200,000 |
| 13-02640 | 10/28/2014 | Claimant(s): Robert Branscombe
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Ronald L. Cheney, B. J. Krintzman, Philip S. Wellman
Hearing Site: Manchester, NH
| | Expungement |
| 10-04182 | 02/26/2014 | Claimant(s): Brian Fitol, David Evans, Theresa Fitol
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Frank Lee, Sean Nesto
Respondent Lawyers(s): Frank Robert Lee, Sean Patrick Nesto
Arbitrator(s): B. J. Krintzman, Philip S. Wellman, Philip S. Walker
Hearing Site: Hartford, CT
| | $2,640 |
| 09-00524 | 11/26/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Len Weintraub
Respondent(s): Katherine Traver, RBC Capital Markets Corporation
Respondent Lawyers(s): Eric D. Brandfonbrener
Arbitrator(s): Ronald L. Cheney, Robert J. Ambrogi, Philip S. Wellman
Hearing Site: Montpelier, VT
| | |
| 07-02564 | 09/30/2009 | Claimant(s): TD Banknorth, N.A.
Claimant Lawyers(s): Thomas W. Witherington
Respondent(s): Jeffrey Davis, National Planning Corporation
Respondent Lawyers(s): Richard N. Freeth
Arbitrator(s): Samuel H. Chorches, Philip S. Wellman, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 08-01621 | 04/24/2009 | Claimant(s): Richard Soucy
Claimant Lawyers(s): Richard K Soucy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Julie C. Webb
Arbitrator(s): Eugene Tenenbaum, Elizabeth K. Norsworthy, Philip S. Wellman
Hearing Site: Manchester, NH
| | |
| 06-02864 | 08/15/2007 | Claimant(s): Sheldon Spitz, Sheldon and Olivia Spitz, Spitz Family Partnership
Claimant Lawyers(s): Seth Muraskin
Respondent(s): Jeffrey Harriton, TimeCapital Securities Corporation
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Eric P. Nachman, Rory M. McLaughlin, Philip S. Wellman
Hearing Site: New York, NY
| | $0 |
