| 22-02381 | 03/12/2024 | Claimant(s): Anthony Colucci, Maryann Colucci, Estate of Richard A. Colucci
Claimant Lawyers(s): David J. Freniere
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Ivan W. Harper, Linda J. Baer, Amy Jill Baranoff
Hearing Site: New York, NY
|  | Expungement |
| 18-03635 | 10/14/2019 | Claimant(s): Linda Gouza, Theodore Gouza
Claimant Lawyers(s): Chad M. Ostrosky
Respondent(s): LPL Financial LLC, Bryan Davis
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Richard W. Dissen, Edward W. Morris, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | $0 |
| 17-00820 | 06/25/2019 | Claimant(s): Joseph Scaniffe
Claimant Lawyers(s): David J. Freniere
Respondent(s): Anastasios Belesis, John Belesis, Marc Greenberg, Brookville Capital Partners, John Thomas Financial, Sterne, Agee & Leach.
Respondent Lawyers(s): Anthony Varbero, Gabriel Iezzoni, George D. Sullivan, Marc Greenberg, Maria Cummings, Seth Huberman
Arbitrator(s): Steven R. Rolnick, Philip S. Wellman, Mark Stuart Gurevitz
Hearing Site: Hartford, CT
| | $200,000 |
| 18-00177 | 04/08/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Cetera Investment Services LLC
Respondent Lawyers(s): David J. Freniere, Sean T. Needham
Arbitrator(s): Daniel J. Pagnano, Charles Leonard Smith, Nick Thomas
Hearing Site: Houston, TX
| | Expungement |
| 18-00030 | 08/07/2018 | Claimant(s): Jean Giresi
Claimant Lawyers(s): Jean Giresi
Respondent(s): Gabriel Tessar, William Blackford
Respondent Lawyers(s): David J. Freniere, Gabriel Gerard Tessar
Arbitrator(s): Joseph H. Cerame
Hearing Site: New York, NY
| | $0 |
| 15-00762 | 10/13/2016 | Claimant(s): Tokena Corporation
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Next Financial Group.
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Robert Titus, Shari B. Broder, Richard E. Castiglioni
Hearing Site: Manchester, NH
| | Expungement |
| 15-01127 | 10/10/2016 | Claimant(s): Lisa Cooper, Trevor Cooper
Claimant Lawyers(s): D. Daxton White
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): William L. Merkin, Mandel E. Himelstein, John M Wilson
Hearing Site: San Diego, CA
| | Expungement |
| 15-00046 | 06/28/2016 | Claimant(s): John Hamann, Peggy Hamann
Claimant Lawyers(s): Gary S. Menzer, Jeffrey R. Sonn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Charles Scott McClellan, Clydia Jean Cuykendall, Joel I. Beerman
Hearing Site: Seattle, WA
| | Expungement |
| 14-02097 | 06/09/2015 | Claimant(s): Joseph McGuire, Leslie McGuire
Claimant Lawyers(s): Bradd Milove, Jacob Pyle
Respondent(s): LPL Financial LLC, David Hart
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Charles F. Boufford, Celeste A. Beron, Norma Abbene
Hearing Site: Charlotte, NC
| | $725,000 |
| 13-02616 | 11/25/2014 | Claimant(s): Allen Nelson, Susan Nelson, Nelson Realty North Corp. LLC, One Live Oak 4
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Kulch, Next Financial Group.
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Robert Titus, Edward Joseph Boudreau, Peter Andrew Marx
Hearing Site: Manchester, NH
| | Expungement |
