| 22-01942 | 04/09/2024 | Claimant(s): John Enderle, Marguerite Enderle, Nicholas Salerno
Claimant Lawyers(s): Joshua Kons
Respondent(s): Michael Dworetsky, Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Steven R. Rolnick, John J. Mager, Patrick Leo Kennedy
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206 |
| 22-01908 | 11/06/2023 | Claimant(s): Janice Mecca, Laurence Brown, Robert Mecca, Brown Family Maintenance Trust, Brown Revocable Trust, Donald M Brown Income Provider Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Andrea J. Goldman, Peter M Cosel, Stephen James McLaughlin
Hearing Site: Boston, MA
| | $246,114 |
| 22-01761 | 09/15/2023 | Claimant(s): The Reed Family Trust
Claimant Lawyers(s): Jorge Altamirano
Respondent(s): Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Linda J. Baer
Hearing Site: Manchester, NH
| | $0 |
| 18-01388 | 04/24/2020 | Claimant(s): MTM Nevada Holdings
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Thomas Joseph Atkinson, Louise B. Zeuli, Irwin Venick
Hearing Site: Nashville, TN
| | Settlement |
| 17-03044 | 04/02/2019 | Claimant(s): Michels Family Investment Trust
Claimant Lawyers(s): Gary Menzer
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Gerald Silverman, Gary Frederick Birnberg, Isadora Velazquez-Rivas
Hearing Site: Miami, FL
| | Expungement |
| 17-00071 | 10/24/2017 | Claimant(s): Carlos Nieves
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
| | $22,103 |
| 17-00905 | 09/26/2017 | Claimant(s): John Serwatka
Claimant Lawyers(s): John A. Serwatka
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Michael James Malone
Hearing Site: Cleveland, OH
| | $368 |
| 16-00979 | 05/12/2017 | Claimant(s): William Conklin, William Conklin IRA, William Conklin TOD Account
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Robert F. Saint-Aubin, W. Alex King, Kenneth M. Weinman
Hearing Site: Los Angeles, CA
| | $0 |
| 13-03624 | 11/16/2015 | Claimant(s): Freddy Holcomb
Claimant Lawyers(s): R. Leslie Waycaster, Jr
Respondent(s): LPL Financial LLC, Michael Fortner
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
| | $37,329 |
| 15-01081 | 11/10/2015 | Claimant(s): Marilyn Green, Melissa Green
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
| | $52,387 |
