| 19-00082 | 10/02/2019 | Claimant(s): Tom Tufts
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): First Standard Financial Company
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
|  | $0 |
| 19-00269 | 09/13/2019 | Claimant(s): Michael Kilpatrick
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Gregory Crance, Oneamerica Securities.
Respondent Lawyers(s): Emily Sides Bonds, Julie Wilson Portera
Arbitrator(s): David Edward Upton
Hearing Site: Norfolk, VA
| | $0 |
| 19-00271 | 08/30/2019 | Claimant(s): Andrew Kilpatrick
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Gregory Crance, Oneamerica Securities.
Respondent Lawyers(s): Emily Sides Bonds, Julie Wilson Portera
Arbitrator(s): Marvin Kent Speigner
Hearing Site: Birmingham, AL
| | $22,357 |
| 19-00270 | 08/28/2019 | Claimant(s): Matthew Kilpatrick
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Gregory Crance, OneAmerica Securities.
Respondent Lawyers(s): Emily Sides Bonds, Julie Wilson Portera
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | $300 |
| 18-02195 | 06/14/2019 | Claimant(s): David Strickland
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Lewis Vastine Stabler, Samuel Appel, Debra Black Leo
Hearing Site: Birmingham, AL
| | $153,068 |
| 18-02512 | 12/07/2018 | Claimant(s): Brian McDermott, Patricia McDermott
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): J.P. Morgan Securities, Wells Fargo Clearing Services, Kevin Mercer
Respondent Lawyers(s): Heidi E. VonderHeidi, Jeffery Rodgers, Kevin Allen Mercer
Arbitrator(s): Daniel Robbins
Hearing Site: New York, NY
| | $600 |
| 18-02210 | 10/17/2018 | Claimant(s): Howard King
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): Jeffry L. Perlman
Hearing Site: Washington, DC
| | $44,100 |
| 18-00730 | 08/10/2018 | Claimant(s): Linda Tucker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bryce M. Cullinane
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $29,551 |
| 17-03486 | 07/24/2018 | Claimant(s): Kathy Sonabend, Sol Sonabend
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kim J. Gustafson
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $0 |
| 17-02326 | 06/29/2018 | Claimant(s): Brian Rix
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Centennial Securities Company.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Sarah J. Nordlund, Robert Lane Arrington, Patrick K. Gregorius
Hearing Site: Nashville, TN
| | Expungement |
