23-01030 | 03/28/2024 | Claimant(s): Dorothy Harnish, Glenn Harnish Claimant Lawyers(s): Michael S. Hill Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Gregory Hunter Mathews Hearing Site: Philadelphia, PA
| | $225 |
22-01420 | 12/28/2023 | Claimant(s): Brian Wells Claimant Lawyers(s): Brian Wells Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Professional Clearing Corp, BOFA Securities. Respondent Lawyers(s): Ronald Smith Arbitrator(s): William A. Barrett, Linda J. Baer, Gregory Hunter Mathews Hearing Site: Manchester, NH
| | $0 |
22-01818 | 12/01/2023 | Claimant(s): Gerald Bruns, Sandra Bruns Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Questar Capital Corporation Respondent Lawyers(s): Heidi E. VonderHeide Arbitrator(s): Gregory Hunter Mathews, Jason L Pearlman, Sharon Beth Eckstein Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
21-03139 | 08/02/2023 | Claimant(s): Catherine Brown, Denise Correia Claimant Lawyers(s): August M. Iorio Respondent(s): David Lerner Associates. Respondent Lawyers(s): Michael G. Shannon Arbitrator(s): Gregory Hunter Mathews, Robert M. Singer, Michael R. Ricci Hearing Site: Hartford, CT
| | Expungement |
21-00625 | 09/16/2022 | Claimant(s): Jaivin Karnani Claimant Lawyers(s): Marc Seldin Rosen Respondent(s): Futu Inc Respondent Lawyers(s): Cameron S. Matheson Arbitrator(s): Arthur B. O'Connell, Carl F. Bowmer, Gregory Hunter Mathews Hearing Site: Richmond, VA
| | $0 |
21-02073 | 08/18/2022 | Claimant(s): Dennis Pickett Claimant Lawyers(s): Dennis W. Pickett Respondent(s): TD Ameritrade., Citadel Securities LLC Respondent Lawyers(s): Kevin H. Lewis, Mark L. Parmelee Arbitrator(s): Gregory Hunter Mathews Hearing Site: Louisville, KY
| | $0 |
18-01201 | 10/23/2020 | Claimant(s): Arthur Bing, Bryan Davis, Holly Easton, Richard Stobbs, Yvonne Mitchell, Zoran Stoyanovich Claimant Lawyers(s): John S. Chapman Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Carlos Provencio Arbitrator(s): Sharon R. Merriman, Jacqueline R. Fox, Gregory Hunter Mathews Hearing Site: Columbus, OH
| | $450 |
19-00194 | 03/25/2020 | Claimant(s): Thomas Hirsch Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Louis F. Mendez Arbitrator(s): Allan Weiss, Gregory Hunter Mathews, James A. McIntosh Hearing Site: Louisville, KY
| | Dismissed by Rule 12206/12504 |
19-01955 | 02/14/2020 | Claimant(s): Tommy Dewitt Claimant Lawyers(s): Jennifer Tarr Respondent(s): Brent Porges, David Cannata, Craig Scott Capital Respondent Lawyers(s): Brent Morgan Porges, Craig Taddonio, David Charles Cannata Arbitrator(s): Gregory Hunter Mathews Hearing Site: Richmond, VA
| | $50,000 |
17-00150 | 11/07/2018 | Claimant(s): Edith M. Wachsner Trust Claimant Lawyers(s): Henry I. Willett Respondent(s): Kent Engelke, Capitol Securities Management. Respondent Lawyers(s): Janet K. DeCosta Arbitrator(s): James A. Hayes, Robert Charkovsky, Gregory Hunter Mathews Hearing Site: Richmond, VA
| | Expungement |