| 17-02102 | 06/12/2018 | Claimant(s): Joseph Grusczak, William DeGraff, Joseph Grusczak IRA, William DeGraff IRA
Claimant Lawyers(s): Jeffrey Hellman
Respondent(s): Oppenheimer & Co.., Richard Baum, Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward, Ralph Izzo
Arbitrator(s): Robert L. Chase, Ira A. Auerbach, David R. Foley
Hearing Site: Hartford, CT
|  | Expungement |
| 15-02983 | 05/30/2017 | Claimant(s): George Miller
Claimant Lawyers(s): Michael J. Bruzzese
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward
Arbitrator(s): John W. Eichleay, Justin Henry McCarthy, Barry J. Lipson
Hearing Site: Pittsburgh, PA
| | $152,130 |
| 15-02778 | 08/17/2016 | Claimant(s): James Ross
Claimant Lawyers(s): James E. Ross
Respondent(s): Edward Queenan, Guido Sarcione, New England Securities, Ronald Ware, Metlife Securities Inc., Valmark Securities., Wealth Impact Partners
Respondent Lawyers(s): Brian Palmeri, David L. Ward, Penelope Taylor
Arbitrator(s): Paul A. Auerbach
Hearing Site: Providence, RI
| | $300 |
| 14-03169 | 06/08/2016 | Claimant(s): Brianna M. Leddy, Brooke Y. McWilliams, Connor McWilliams, Michael Leddy, Morgan E. McWilliams, Ryan Leddy, Shane W. McWilliams, IRA FBO Karen L. McWilliams, Karen L. and Kirk A. McWilliams
Claimant Lawyers(s): Vicki Kuftic Horne
Respondent(s): Patricia Miller, Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward, Patricia S. Miller
Arbitrator(s): Kathleen P. Helbig-Hannan, Christopher Lepore, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
| | $320,490 |
| 12-02880 | 05/20/2014 | Claimant(s): Betsy Sachs, Brooke Sachs
Claimant Lawyers(s): Matthew J. Tuttle
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Gerard S. Marsan, Jeffrey G. Sommers, Carol Di Natale
Hearing Site: Boston, MA
| | $35,821 |
| 10-02616 | 07/25/2012 | Claimant(s): Pinnacle Investments
Claimant Lawyers(s): David L. Ward
Respondent(s): Anastasia Tkatschow, George Koulouris
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Richard A. Scalfani, Stephen P. LaLonde, Edmund Viele
Hearing Site: Syracuse, NY
| | $0 |
| 07-02368 | 10/29/2008 | Claimant(s): Anthony Antonakis, John Hughes, Kurly Dog Investments, Red Dog Investments
Claimant Lawyers(s): Albert K. Lawler
Respondent(s): Richard Buckley
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Francis J. Pavetti, Robert L. Chase, Margaret Hotopp
Hearing Site: New London, CT
| | $0 |
