| 24-00972 | 11/26/2024 | Claimant(s): Fred Huecker, Susan Huecker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Lawrence Nagel, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, John O. Lukanski
Arbitrator(s): George G. Kurschner
Hearing Site: Louisville, KY
|  | $26,156 |
| 22-01176 | 02/26/2024 | Claimant(s): Marlin Andrews
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Stifel, Nicolaus & Co.., William Humber
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Debra Black Leo, Derry Olive Wilcox, Michael Tryon
Hearing Site: Birmingham, AL
| | $0 |
| 20-03646 | 04/07/2023 | Claimant(s): John Kruk, Kruk Joint Revocable Trust UAD 1-30-17
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brian Megley, Cetera Advisors LLC
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Jim Geiger, Diane Ciccone, Jeremy M. Bloomenthal
Hearing Site: Providence, RI
| | Expungement |
| 21-01422 | 02/22/2023 | Claimant(s): Charles Nino, Doreen Filomena, Heather Bily, Charles J. Nino IRA, Duane A. Bily IRA, Heather M. Bily IRA, Patricia A. Bily IRA, Sabrina L. Nino IRA, The Bily Charitable Remainder Unitrust, The Bily Family Trust UAD 12/23/96
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Ron Purvines, Cetera Advisors LLC
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Barbara M. Zak, Avery B. Goodman, Ann H. Nevers
Hearing Site: Las Vegas, NV
| | Expungement |
| 19-01006 | 07/15/2022 | Claimant(s): Frank K. Lee, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Stuart D. Summers, Steven Michael McCauley, Kim L. Kirn
Hearing Site: Louisville, KY
| | $609,050 |
| 19-02750 | 04/20/2022 | Claimant(s): GMS Mine Repair and Maintenance.
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Next Financial Group.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Linda Arlene Michler, Rosemary Christina Crawford, Michael J. Betts
Hearing Site: Pittsburgh, PA
| | $0 |
| 21-01453 | 04/08/2022 | Claimant(s): Ronnie and Dawn Doster Revocable Trust
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brett Whitten, UBS Financial Services Inc.
Respondent Lawyers(s): Anastasia B. Wohar
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | $0 |
| 19-01588 | 12/01/2021 | Claimant(s): Lisa Wavro
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Stanley, Kevin Welsh
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Robert H. Putnam, Mauricio Arcadier, William Finley Hamel
Hearing Site: Columbia, SC
| | Expungement |
| 21-00966 | 11/17/2021 | Claimant(s): Gary Barnes
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Damian Bell, International Assets Advisory, WFG Investments.
Respondent Lawyers(s): Alan M. Wolper, David Williams
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | $0 |
| 19-03796 | 06/02/2020 | Claimant(s): Josephine Chien
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): SW Financial
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Ronald L. Cameron
Hearing Site: Los Angeles, CA
| | $23,175 |
