| 20-02368 | 11/08/2022 | Claimant(s): Helen Shelly, Jerry Shelly
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Lawyers(s): Greg Curley, Peter B. King
Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Bernadette F. Rasmussen
Hearing Site: Columbia, SC
|  | Expungement |
| 21-00650 | 07/11/2022 | Claimant(s): M. Barnett
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Arkadios Capital
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James C. Hoover, Michael Ryan Peacock, Lakeya Brantley
Hearing Site: Atlanta, GA
| | Expungement |
| 19-01985 | 09/01/2021 | Claimant(s): Howard Saretsky and Lynn Saretsky
Claimant Lawyers(s): Debora R. Moore
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Will Murphy, Joseph Benalt, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-02389 | 01/06/2021 | Claimant(s): Jean Johnson, Pamela Johnson, Thomas Johnson
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Hall, Kingsbury Capital.
Respondent Lawyers(s): Benjamin B. Coulter, Peter B. King
Arbitrator(s): Stuart K. Furman, Thomas Joseph Atkinson, Gayle B. Carlson
Hearing Site: Orlando, FL
| | Expungement |
| 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 |
| 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 |
| 14-02429 | 09/19/2016 | Claimant(s): William Langfan
Claimant Lawyers(s): William K. Langfan
Respondent(s): Citigroup Global Markets., Morgan Stanley, Scott Sade
Respondent Lawyers(s): George D. Sullivan, Peter B. King
Arbitrator(s): Allen Kilik, Lisa Marie Macci, Steven G. Montesi
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-04210 | 07/25/2013 | Claimant(s): The Estate of Eugene R. Smith III
Claimant Lawyers(s): Robert Lott
Respondent(s): Darryl Bryant, David Miller, Fortune Financial Services., Triad Advisors.
Respondent Lawyers(s): Daniel I. MacIntyre, Peter B. King, Vincent M. Roskovensky
Arbitrator(s): Carole M. Crosby, Ronald A. Isackson, James Douglas Amrhein
Hearing Site: Tampa, FL
| | Expungement |
| 11-03618 | 07/08/2013 | Claimant(s): Sandra Meisenzahl, Leonard B. Meisenzahl Trust, Sandra Meisenzahl Revocable Living Trust
Claimant Lawyers(s): W. Scott Turnbull
Respondent(s): Gerald Fasanella, Mutual Service Corporation, AIG Financial Advisors., Next Financial Group.
Respondent Lawyers(s): Craig A. Vollono, Fred N. Knopf, Marc S. Dobin, Peter B. King
Arbitrator(s): Steven Gerard Goerke, William Kent Brown, Lee Alan Rosenblum
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-00704 | 02/25/2013 | Claimant(s): Kenneth and Lorraine DeBritto
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Lewis J. Levey
Hearing Site: Ft. Lauderdale, FL
| | Dismissed by Rule 12206 |
