| 24-01758 | 11/19/2024 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Meredith Webber
Respondent Lawyers(s): Meredith Archer Webber
Arbitrator(s): Thomas M. Madden
Hearing Site: Albany, NY
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| 23-02951 | 05/13/2024 | Claimant(s): Stephen Soper
Claimant Lawyers(s): Joseph P. Allgor
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Thomas M. Madden
Hearing Site: Albany, NY
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| 22-02428 | 12/27/2023 | Claimant(s): Matthew Smith
Claimant Lawyers(s): Jonathan S. McCardle
Respondent(s): George McAvoy, Securities America., Richard Tomisman, William Selig, CP Capital Management
Respondent Lawyers(s): Gregory M. Curley, Justin A. Heller
Arbitrator(s): Martin John Satalin, Stuart Eliot Finer
Hearing Site: Albany, NY
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| 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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| 22-01843 | 03/01/2023 | Claimant(s): Todd Slingerland
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard, Rochelle Mayfield
Arbitrator(s): Steven R. Rolnick
Hearing Site: Albany, NY
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| 22-01397 | 12/29/2022 | Claimant(s): Lawrence Natale
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Purshe Kaplan Sterling Investments.
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Albany, NY
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| 22-00838 | 09/20/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E. Dennis
Respondent(s): Ross Fabregas
Respondent Lawyers(s): Ross Ramon Fabregas
Arbitrator(s): Robert Titus
Hearing Site: Albany, NY
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| 21-01644 | 03/30/2022 | Claimant(s): Jason Kurchner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prime Capital Services.
Respondent Lawyers(s): Emily Hayes
Arbitrator(s): Ted M. Rosen
Hearing Site: Albany, NY
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| 21-01907 | 02/23/2022 | Claimant(s): James Boyer
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Andrew P. Karamouzis
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Albany, NY
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| 21-01055 | 01/19/2022 | Claimant(s): Adam Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Alice E. Winkler
Hearing Site: Albany, NY
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