| 24-00249 | 07/15/2024 | Claimant(s): Kevin Houser
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): LPL Financial LLC, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier, Jon D. Kaplon
Arbitrator(s): Nancy E. Watters, Daniel James Kortum, Mark A Bilawsky
Hearing Site: Philadelphia, PA
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| 22-00949 | 08/07/2023 | Claimant(s): Sean Caplen
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 22-01475 | 06/27/2023 | Claimant(s): Thomas Pollock
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Laurie A. Perez
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 21-02711 | 07/19/2022 | Claimant(s): Charles Fischer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 21-01401 | 04/21/2022 | Claimant(s): Brian Lombardi
Claimant Lawyers(s): Joshua Bautz
Respondent(s): GunnAllen Financial, Aegis Capital Corp.
Respondent Lawyers(s): Kevin Daniels, Kevin Meade
Arbitrator(s): Marc S. Dobin, Howard Bernstein, Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 21-02952 | 02/25/2022 | Claimant(s): Alejandro Gonzalez
Claimant Lawyers(s): Thomas M. McHugh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 20-02801 | 07/13/2021 | Claimant(s): Andrew Fairchild
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 20-01292 | 02/22/2021 | Claimant(s): Andrew Goldberg
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Metlife Securities.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 20-01761 | 02/01/2021 | Claimant(s): VIncent Montanti
Claimant Lawyers(s): Ronald Shindler
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 20-01453 | 12/15/2020 | Claimant(s): Christopher Facka
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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