| 20-04109 | 08/12/2022 | Claimant(s): Hilary Diaz
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
|  | Expungement |
| 20-03507 | 07/21/2022 | Claimant(s): James Stege
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): John P. Cullem
Hearing Site: Jacksonville, FL
| | Expungement |
| 21-03083 | 07/20/2022 | Claimant(s): Estate of Nicole B. Reuben
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Mark C. Perry, Richard W. Epstein, Mark David Hunter
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-00011 | 07/06/2022 | Claimant(s): Mark Levy
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano
Arbitrator(s): Edward W. Morris, Melanie Barr-Brooks, Robert J. Kirkner
Hearing Site: Wilmington, DE
| | $0 |
| 19-02523 | 05/23/2022 | Claimant(s): Harry Alter, Harry S. Alter Revocable Trust
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Jamie Worden, Worden Capital Management LLC
Respondent Lawyers(s): Jamie John Worden
Arbitrator(s): Robert J. Scafuri, Jack D. Elmquist, Frederick B. Anderson
Hearing Site: Des Moines, IA
| | $60,000 |
| 19-02374 | 03/07/2022 | Claimant(s): J. Leland Langston
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Donald N. Tolin, Thomas R. Bromberg, Julie Judith Lurman Joly
Hearing Site: Denver, CO
| | Expungement |
| 20-00461 | 12/10/2021 | Claimant(s): Brian Bertrand
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory Scanlon
Arbitrator(s): Bill Lamoreaux
Hearing Site: Dallas, TX
| | $0 |
| 21-01380 | 11/19/2021 | Claimant(s): Christopher Briggs
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Wayne Reid Nelson
Hearing Site: Phoenix, AZ
| | Expungement |
| 19-00637 | 11/17/2021 | Claimant(s): Linda Stack
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Gary M. Landau, Gerald Silverman, Leon H. Tracy
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-01124 | 11/16/2021 | Claimant(s): Curtis D. Hertel Rev Liv Trust
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Sandlapper Securities
Respondent Lawyers(s): Trevor L. Gordon
Arbitrator(s): Michael Lau, Melanie S. Cherdack, Maria Rosa Scalone
Hearing Site: Boca Raton, FL
| | $205,488 |
