| 17-00503 | 02/22/2019 | Claimant(s): Ronald Janicki
Claimant Lawyers(s): Michael A. Nagy
Respondent(s): Robert Weiss, Securities Management & Research.
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Francis A. King
Hearing Site: Pittsburgh, PA
|  | $11,043 |
| 14-03425 | 06/17/2016 | Claimant(s): Ramona Hahn, Ramona Hahn IRA, Ramona Hahn Roth IRA, Ramona Hahn Family Trust DTD 08/04/2003
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): LPL Financial LLC, John Sherwin, Thomas Hokr, Edward Jones, Investors Capital Corp.
Respondent Lawyers(s): Bentley P. Stansbury, Jon Kaplon, Michael A. Nagy
Arbitrator(s): Guenter S. Cohn, Sally G. Williams, Vytas Tarulis
Hearing Site: San Diego, CA
| | Expungement |
| 13-00181 | 05/30/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Nicolas Toadvine, Investors Capital Corp.
Respondent Lawyers(s): Michael A. Nagy, Nicolas Shane Toadvine
Arbitrator(s): Richard J. Fuller
Hearing Site: Tampa, FL
| | Settlement |
| 13-02416 | 05/08/2014 | Claimant(s): Lynn Royal
Claimant Lawyers(s): Lynn Royal
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Michael A. Nagy
Arbitrator(s): Peter M. Saparoff
Hearing Site: Boston, MA
| | $0 |
| 13-01930 | 12/11/2013 | Claimant(s): Carl Cooper, Donna Cooper
Claimant Lawyers(s): Donna M. Cooper
Respondent(s): Monica Narvaez, Investors Capital Corp.
Respondent Lawyers(s): Michael A. Nagy
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | $15,437 |
