| 22-02830 | 03/24/2023 | Claimant(s): James Holman
Claimant Lawyers(s): James P. Holman
Respondent(s): Fidelity Brokerage Services LLC, Ryan Furuta
Respondent Lawyers(s): Shawn J. Gebhardt
Arbitrator(s): M. Melvin Shralow
Hearing Site: Wilmington, DE
|  | $300 |
| 21-00011 | 07/06/2022 | Claimant(s): Mark Levy
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano
Arbitrator(s): Edward W. Morris, Melanie Barr-Brooks, Robert J. Kirkner
Hearing Site: Wilmington, DE
| | $0 |
| 19-00941 | 05/09/2022 | Claimant(s): Elizabeth Berlin, Stephen Berlin
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Robert E. Anderson, Edward W. Morris, William Stephen Mailander
Hearing Site: Wilmington, DE
| | Expungement |
| 20-03407 | 02/02/2022 | Claimant(s): Joseph McCormick IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): USA Financial Securities Corporation
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Julian F. Santos, Linda J. Baer, Clifford Jacob Pritchard
Hearing Site: Wilmington, DE
| | Expungement |
| 20-01948 | 04/13/2021 | Claimant(s): Daniel Freebery
Claimant Lawyers(s): Daniel P. Freebery
Respondent(s): Jeffery Paytas, Fidelity Brokerage Services LLC, Nathaniel Wright
Respondent Lawyers(s): Joel M. Everest, Noah D. Sorkin
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | $300 |
| 20-02296 | 12/10/2020 | Claimant(s): Dmytro Garazha
Claimant Lawyers(s): Dennis Moskal
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Diane Ciccone
Hearing Site: Wilmington, DE
| | $300 |
| 20-00576 | 06/29/2020 | Claimant(s): Barbara Gordon, David Gordon
Claimant Lawyers(s): Barbara G. Gordon, David Gordon
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): David L. Ruderman
Hearing Site: Wilmington, DE
| | $213 |
| 19-00102 | 04/07/2020 | Claimant(s): Jay Brandt
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Richard Coleman, Legend Securities.
Respondent Lawyers(s): Richard James Coleman, Salvatore C. Caruso
Arbitrator(s): Michael Fischetti, Robin David Bleecher, Louis P. Wagman
Hearing Site: Wilmington, DE
| | $110,913 |
| 18-04212 | 03/23/2020 | Claimant(s): Harlis Bolling
Claimant Lawyers(s): Harlis Terry Bolling
Respondent(s): Daniel Zimmerman, Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Wilmington, DE
| | $225 |
| 18-02028 | 11/15/2018 | Claimant(s): Leonard Dibbs
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Four Points Capital Partners LLC
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE
| | Expungement |
