| 16-00850 | 06/22/2017 | Claimant(s): John Doster
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Michael Harper, Invest Financial Corporation
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
|  | Expungement |
| 15-02089 | 05/25/2017 | Claimant(s): Dickie Moritz, Phyllis A. Mortiz Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors, Summit Brokerage Services.
Respondent Lawyers(s): Alan S. Rafterman, John W. Shaw
Arbitrator(s): Michael D. Fitzgerald, Rody P. Biggert, Lawrence R. Rute
Hearing Site: Kansas City, MO
| | Expungement |
| 16-00036 | 05/17/2017 | Claimant(s): Richard Patterson, Richard Patterson Rev Liv Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Ron Pekoe, Mark R. Topper, Stuart K. Furman
Hearing Site: Orlando, FL
| | Expungement |
| 16-00025 | 05/03/2017 | Claimant(s): The Dennis Keyser Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): H. Beck.
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Thomas J. Ray, Kim L. Kirn, Marjorie Lynn Gold
Hearing Site: St. Louis, MO
| | Expungement |
| 15-03063 | 04/25/2017 | Claimant(s): Barbara Kaye, Barbara J. Kaye Revocable Living Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Richard J. Stall
Hearing Site: Las Vegas, NV
| | Expungement |
| 15-02084 | 02/14/2017 | Claimant(s): Arianna Lin
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): John J. Balitis, Jay Lawrence Witkin, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | Expungement |
| 16-02688 | 01/27/2017 | Claimant(s): M. Korbin
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Maria L. Kreiter
Arbitrator(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12504 |
| 15-02593 | 12/05/2016 | Claimant(s): Michael Studley
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Erin Linehan
Arbitrator(s): Stuart K. Furman, A. Michelle Jernigan, Rose Erika Kennedy
Hearing Site: Orlando, FL
| | Expungement |
| 15-00831 | 10/12/2016 | Claimant(s): Hedayat Daie
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-02396 | 06/08/2016 | Claimant(s): Bruce Lanzetta
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Gregory Flemming, Lawrence Banks
Respondent Lawyers(s): Gregory Flemming, Lawrence Allen Banks
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $10,525 |
