| 21-01974 | 05/30/2023 | Claimant(s): Betty Sprague, Eric Orkin
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Triad Advisors LLC, Lion Street Financial
Respondent Lawyers(s): Gerry Kowalski, Kathy M. Klock
Arbitrator(s): Edward W. Morris, Howard N. Gorney, Sean Michalski
Hearing Site: Manchester, NH
|  | Expungement |
| 19-01839 | 10/18/2022 | Claimant(s): Linda O'Donnell
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): TD Ameritrade., Peter Keating, United Planners' Financial Services
Respondent Lawyers(s): Erinn M. Maguire, Gerry Kowalski
Arbitrator(s): Jay B. Bachar, Catherine Esther Bocskor, Robert J. Kirkner
Hearing Site: Baltimore, MD
| | $244,344 |
| 20-00395 | 07/21/2021 | Claimant(s): Dmitry Kreslavskiy, Yevgeniya Kreslavskaya, Dmitry Kreslavskiy IRA, Yevgeniya Kreslavskaya IRA
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Robert R. Salman, Robert E. Anderson, Patrick R. Westerkamp
Hearing Site: Jersey City, NJ
| | Expungement |
| 19-02559 | 11/20/2020 | Claimant(s): John Didomenico, on behalf of his IRA
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Daniel Raupp, Concorde Investment Services
Respondent Lawyers(s): Gerry Kowalski, Tanya S. Lambrechts
Arbitrator(s): Richard J. Kaplan, Joseph Benalt, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | Dismissed |
| 19-02013 | 06/12/2020 | Claimant(s): Lucy Schneiberg, Yuri Schneiberg
Claimant Lawyers(s): William W. Uchimoto
Respondent(s): Wells Fargo Clearing Services, Scott Kaminsky
Respondent Lawyers(s): Gerry Kowalski, Henry F. Reichner
Arbitrator(s): Cornelius C. Clancy, Louis P. Wagman, Harold Yaskin
Hearing Site: Philadelphia, PA
| | $0 |
| 18-03187 | 11/21/2019 | Claimant(s): Ann Ginsberg, Gene Ginsberg, Gene H. Ginsberg & Ann R. Ginsberg Trust
Claimant Lawyers(s): David A Conti
Respondent(s): Stifel, Nicolaus & Co.., Lawrence Delhagen, Michael O'Keefe
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Mark H. Stein, Patrick R. Westerkamp, Gerard Thompson
Hearing Site: Philadelphia, PA
| | $0 |
| 09-06233 | 09/16/2011 | Claimant(s): JPTDLM, L.P.
Claimant Lawyers(s): Jeffrey J. Liotta
Respondent(s): Oppenheimer & Co.., Jonathan Greene, Kyle Wool, Oppenheimer Asset Management Inc.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Susan H. Schleisner, Gary L. Grolle, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | Expungement |
| 09-02693 | 10/20/2010 | Claimant(s): Steven Weisberg, IRA FBO Steven L. Weisberg SunAmerica Tr, Steven L. Weisberg Rev. Trust
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Royal Alliance Associates., John Schwartz, Retirement Advisory Services.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Paul W. Sterman, Michael J. Quarequio, Eugene H. Steele
Hearing Site: Boca Raton, FL
| | $80,000 |
| 08-03527 | 02/24/2010 | Claimant(s): Est. of Raymond H. Castellano by Mary M.
Claimant Lawyers(s): Daniel F. Corrigan
Respondent(s): Jason Mieras, Lawrence Mieras, American Portfolis Financial Services, I
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Jerry Schuchman, Jordan Roy Nelson, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
| | $0 |
| 08-00251 | 11/04/2008 | Claimant(s): Bernice Follmer, Thomas Follmer
Claimant Lawyers(s): William G. Clelland
Respondent(s): Bradley Freimark, ProEquities., Safe Harbor Retirement Solutions
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Lawrence J. Welte, Kerry C. Koep, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $300 |
