| 23-01030 | 03/28/2024 | Claimant(s): Dorothy Harnish, Glenn Harnish
Claimant Lawyers(s): Michael S. Hill
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
|  | $225 |
| 20-03829 | 07/21/2022 | Claimant(s): Rahul Deepankar
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Stuart D. Summers, Daniel R. Formeller, Philip J. Glick
Hearing Site: Chicago, IL
| | Expungement |
| 21-00584 | 07/08/2022 | Claimant(s): Joann Rosellini, Estate of Alexander V. Rosellini
Claimant Lawyers(s): Thomas Costello
Respondent(s): National Securities Corporation, John Moy
Respondent Lawyers(s): Fred N. Knopf, Jennifer R. Willey
Arbitrator(s): Lawrence E. Dube, Josephia Rouse, Elizabeth Varner
Hearing Site: Baltimore, MD
| | Expungement |
| 20-01543 | 06/06/2022 | Claimant(s): Anna Hickey, Daniel Hickey, Daniel J. Hickey & Anna M. Hickey Trust
Claimant Lawyers(s): Devin W. Bone
Respondent(s): Jack McBride, B. Riley Wealth Management
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Patrick R. Sughroue, Richard Heim Foley, Michael John Falvo
Hearing Site: Detroit, MI
| | $0 |
| 19-03440 | 11/05/2021 | Claimant(s): Richard Pierre
Claimant Lawyers(s): Paul Radvany
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | $38,104 |
| 20-00636 | 10/15/2021 | Claimant(s): Howard Merrill, Howard Merrill Rev Living Tr U/A 2/9/15, Howard R. Merrill TTEE
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): National Securities Corporation, Thomas Kelly
Respondent Lawyers(s): Fred N. Knopf, Robert M. Bursky
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | Expungement |
| 19-03519 | 08/04/2021 | Claimant(s): Bradford Kittle
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marvin Kent Speigner, J. Wesley Romine, Emily Sides Bonds
Hearing Site: Birmingham, AL
| | $0 |
| 19-00301 | 07/17/2020 | Claimant(s): Larry Hauskins, PELCO., Estate of Robert Kiar
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Mark L. Williams, Richard William Cryar, Marlo Best
Hearing Site: New Orleans, LA
| | $0 |
| 18-03369 | 03/16/2020 | Claimant(s): Thomas Mayberry
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): John B. Orenstein, Steven M. Bialick, Lindsay Keller
Hearing Site: Minneapolis, MN
| | $0 |
| 16-02863 | 05/17/2019 | Claimant(s): Mark E. Viator IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Raymond C. Kerr, David C. Redford, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
