| 09-05718 | 08/20/2013 | Claimant(s): Patrick Kennedy
Claimant Lawyers(s): Patrick Kennedy
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Samuel H. Chorches, Francis J. Pavetti, April C. Teveris
Hearing Site: Hartford, CT
|  | $0 |
| 11-02646 | 08/16/2012 | Claimant(s): Virginia Bond Patchen
Claimant Lawyers(s): Scott M. Hare
Respondent(s): Pershing LLC, Kevin Miller, Thomas Virostek, Northwestern Mutual Investment Services,, Northwestern Mutual Wealth Management Co, The Northwestern Mutual Life Insurance C
Respondent Lawyers(s): James A. McGovern, Joseph S.D. Christof II
Arbitrator(s): Ellen Holland Keller, Thomas H. Barnard, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 11-01011 | 08/07/2012 | Claimant(s): Jack Goldsmith, FMTC Custodian IRA Rollover Provision FB
Claimant Lawyers(s): Vicki Kuftic Horne
Respondent(s): Fred Galovich, Galovich Financial Planning Services, WRP Investments.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Garry Lee Hogan, Jay H. Feldstein, Michael R. Stabile
Hearing Site: Pittsburgh, PA
| | $410,000 |
| 09-06085 | 10/20/2010 | Claimant(s): Dushaune Evans
Claimant Lawyers(s): Brian C. Parker
Respondent(s): Frederick Judkins, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Janet Stern Solomon
Hearing Site: Washington, DC
| | $60,000 |
| 09-00351 | 06/17/2010 | Claimant(s): Cheryl Katz
Claimant Lawyers(s): Mark T. Starkman
Respondent(s): Oppenheimer & Co.., Stanley Wong, Commerce Capital Markets
Respondent Lawyers(s): Diana Sur, James A. McGovern, Michael S. Zullo
Arbitrator(s): James Pasquale Nunciato, Kathleen Hoey Gorr, Ruth A. Ihne
Hearing Site: Albany, NY
| | $0 |
| 09-00905 | 11/18/2009 | Claimant(s): Richard Moffitt
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Adam Spero, Anthony Urrico, Investors Capital Corporation
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Harvey Frank, John P. Gouttiere, William C. Alsover
Hearing Site: Detroit, MI
| | $273,749 |
| 09-01242 | 09/01/2009 | Claimant(s): Edward Gaul
Claimant Lawyers(s): Edward Gaul
Respondent(s): Bruce Balkcom, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Stanley H. Labinger
Hearing Site: Providence, RI
| | $12,713 |
| 08-01853 | 12/31/2008 | Claimant(s): Morton & Edith Kimmel Rev. Living Trust
Claimant Lawyers(s): Morton Kimmel
Respondent(s): Kenneth Saunders, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Donald J. Spero
Hearing Site: Boca Raton, FL
| | $213 |
| 07-02986 | 06/10/2008 | Claimant(s): James Bynum
Claimant Lawyers(s): James Bynum
Respondent(s): Joseph Jones, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern, Joseph Lionel Jones
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
| | $0 |
| 07-01276 | 02/26/2008 | Claimant(s): Sandra Rizzo, IRA FBO Sandra L. Rizzo
Claimant Lawyers(s): Robert W. Goehring
Respondent(s): Metlife Securities Inc., Metropolitan Life Insurance Company
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Ralph L. Corton, Michael R. Stabile, Jared D. Simmer
Hearing Site: Pittsburgh, PA
| | $21,500 |
