| 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 |
| 20-03658 | 06/13/2022 | Claimant(s): Phyllis Raucher, Phyllis Raucher IRA, Raucher Family Trust
Claimant Lawyers(s): Robert Cornish
Respondent(s): Michael Ecker
Respondent Lawyers(s): Stephany D. McLaughlin
Arbitrator(s): Elena G. Rodriguez, Mary C. Walsh, Timothy Wildman
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-01144 | 02/10/2022 | Claimant(s): Carol Keene
Claimant Lawyers(s): Carol Keene
Respondent(s): Anthony Valente, Morgan Stanley, Ronnie Guidone, Yuji Fujii
Respondent Lawyers(s): Abigail D. Elrod, Stephany D. McLaughlin
Arbitrator(s): Albert T. T. Cook, Paul E. Dahlman, Michael D. Briggs
Hearing Site: Albuquerque, NM
| | Expungement |
| 18-00990 | 02/27/2020 | Claimant(s): Yonata Berman
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Andalman, PTI Securities & Futures L. P.
Respondent Lawyers(s): Glenn Seiden, Gregg Rzepczynski
Arbitrator(s): Larry Evert Carlson, Jacqueline Stanley Lustig, Bernadett R DeLise
Hearing Site: Chicago, IL
| | $170,700 |
| 16-01180 | 01/02/2018 | Claimant(s): Stephen Western
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Donald Beary, Jon Stanfield, Susan Vargason
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): David D. McNally, Eric R. Benton, Francis Joseph Bourgeois
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
| 16-00222 | 02/09/2017 | Claimant(s): Bruce Pritz, Edward Edington, Jerry Oshinski, Lorraine Pritz, Robin Oshinski, Wallace Pritz, Edward Edington IRA, Jerry Oshinski IRA, Robin Oshinski IRA
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Louis Scherschel, Sigma Financial Corporation, Sigma Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Stephany D. McLaughlin
Arbitrator(s): James D. Adducci, Leon Fox, Edward John Zulkey
Hearing Site: Chicago, IL
| | Expungement |
| 13-01981 | 07/21/2015 | Claimant(s): David Turza, Erin Turza as custodian for Lauren Turza, Erin Turza as custodian for Samantha Tur
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors, UBS Financial Services Inc., Richard Ceffalio
Respondent Lawyers(s): Angela A. Turiano, Michael Naccarato, Stephany D. McLaughlin
Arbitrator(s): Jerome F. Crotty, Lynn Hirschfeld Brahin, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 12-02943 | 05/28/2014 | Claimant(s): Alfred and Frances Woods
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Richard W. Vallario, Joseph J. Arata, John Carl Cirincion
Hearing Site: New York, NY
| | Expungement |
| 11-02134 | 05/01/2013 | Claimant(s): Paul and Veronica Pinchuk
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael Shannon
Arbitrator(s): Bennett A. Hall
Hearing Site: Hartford, CT
| | Expungement |
| 11-00420 | 02/06/2013 | Claimant(s): Joseph Kowalski
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): William F. Glaser, Richard R. Logsdon, Robert Lewis Matthews
Hearing Site: Tampa, FL
| | Expungement |
