| 20-03379 | 07/26/2023 | Claimant(s): Andrew Wysocki, Dean Wysocki
Claimant Lawyers(s): Michael Hill
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Samuel H. Chorches, Peter E. Gillespie, Ilene J Feldman
Hearing Site: Hartford, CT
|  | Expungement |
| 21-01618 | 02/27/2023 | Claimant(s): Kenton Rose, Marie Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Charles Kiker, Commonwealth Financial Network
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Theodore W. Wrobleski, Robert S. Grabemann, Helen B Bloch
Hearing Site: Chicago, IL
| | $0 |
| 21-00175 | 10/18/2022 | Claimant(s): Lori Limebeer
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Marc Kalish, Patrick Irvine, Thomas James Walsh
Hearing Site: Phoenix, AZ
| | Expungement |
| 17-01238 | 08/15/2022 | Claimant(s): Robert Little
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Andrew Drago, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Robert J. Scafuri, John James McGovern, Walter Meagher
Hearing Site: Syracuse, NY
| | $0 |
| 17-02244 | 11/17/2020 | Claimant(s): Kyle Busch, Samantha Busch
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Charles Parks, C.F. Parks & Co.., Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Patricia Ann Tracey, Richard E. Miley, James Howell Garrison
Hearing Site: Charlotte, NC
| | $135,000 |
| 19-02566 | 04/07/2020 | Claimant(s): Maria Freeman
Claimant Lawyers(s): Alex S. Aughtry
Respondent(s): LPL Financial LLC, Raymond Daigle, Robert Comeaux, Walter Bond, Commonwealth Financial Network, Comeaux Bond Daigle
Respondent Lawyers(s): Donna Phillips Currault, John W. Joyce
Arbitrator(s): David A. Schuler, Keith E. Robinson, Ralph Hamilton Schofield
Hearing Site: New Orleans, LA
| | $600 |
| 17-01206 | 12/10/2018 | Claimant(s): Ricky Vanzant
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Mary E. Woytek, James A. Hayes, James F. Major
Hearing Site: Charlotte, NC
| | $550,000 |
| 17-01207 | 11/12/2018 | Claimant(s): Kathy Walters
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Richard E. Miley, Dwane Edward Vickstrom, Richard Francis Kane
Hearing Site: Charlotte, NC
| | $129,058 |
| 17-01205 | 10/30/2018 | Claimant(s): Robert Cline
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James A. Hayes, Harry G. Mason, David F. Simon
Hearing Site: Charlotte, NC
| | $127,925 |
| 17-02152 | 10/17/2018 | Claimant(s): Antonia Barone
Claimant Lawyers(s): Joanne A Schultz
Respondent(s): James Haskins, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Michael A. Orticelle, Steven C. Kempisty, L. Paul Kehoe
Hearing Site: Buffalo, NY
| | $0 |
