| 24-01237 | 11/06/2024 | Claimant(s): Daniel Ray
Claimant Lawyers(s): Daniel Patrick Ray
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kristine R. Thomson
Arbitrator(s): David I. Levine, Philip Aaron Tymon, Laura A. Kaster
Hearing Site: Detroit, MI
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| 16-03665 | 09/13/2019 | Claimant(s): Gerald Sharpe
Claimant Lawyers(s): John E. Lawlor
Respondent(s): David Levine, David Rich, Glenn Worman, National Securities Corporation, Robert Fagenson
Respondent Lawyers(s): Richard Roth
Arbitrator(s): Robert J. McDonnell, Marvin L. Schuldiner, Paul G. Garjian
Hearing Site: Newark, NJ
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| 17-02798 | 06/15/2018 | Claimant(s): David Levine
Claimant Lawyers(s): David I. Hantman
Respondent(s): Ameriprise Financial Services., UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono, Howard M. Klausmeier
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
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| 14-03712 | 03/09/2016 | Claimant(s): David Levine
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Patricia A. DeWitt
Hearing Site: New York, NY
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