23-01030 | 03/28/2024 | Claimant(s): Dorothy Harnish, Glenn Harnish Claimant Lawyers(s): Michael S. Hill Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Gregory Hunter Mathews Hearing Site: Philadelphia, PA
| | $225 |
23-02221 | 01/26/2024 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust Claimant Lawyers(s): Michael S. Hill Respondent(s): Farid Farhoumand Respondent Lawyers(s): Lydia R. Zaidman Arbitrator(s): Sharon R. Merriman, Barry Goldman, Crystal Lynne Johnson Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504 |
21-00090 | 06/29/2023 | Claimant(s): Ralph Gatto Roth IRA, Ralph and Vicki Gatto Living Trust Claimant Lawyers(s): Michael S. Hill Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kristine R. Thomson Arbitrator(s): Minnie Loo, Daniel M. Yamshon, Lawrence R. Mills Hearing Site: San Francisco, CA
| | Expungement |
21-02621 | 05/03/2023 | Claimant(s): Richard Westfall Claimant Lawyers(s): Michael S. Hill Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Lynne M. Gomez Hearing Site: Oklahoma City, OK
| | Expungement |
21-01249 | 08/17/2022 | Claimant(s): Rex Nassour IRA Claimant Lawyers(s): Michael S. Hill Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Laurel Littman Gothelf Hearing Site: Reno, NV
| | Expungement |
20-03532 | 06/15/2022 | Claimant(s): Jeffrey Kane, Marsha Kane, Jeffrey Kane IRA, Jeffrey Kane Roth IRA, Marsha Kane IRA, Marsha Kane Roth IRA, Kane Family Trust Claimant Lawyers(s): Michael S. Hill Respondent(s): National Planning Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Robert E. Jenks Hearing Site: Los Angeles, CA
| | Expungement |
21-00028 | 05/11/2022 | Claimant(s): Ian Delahunty Claimant Lawyers(s): Michael S. Hill Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Karen Roberts Washington, Will Pryor, Subvet West Hearing Site: Dallas, TX
| | $365,425 |
20-03742 | 03/29/2022 | Claimant(s): Melanie Meadows Claimant Lawyers(s): Michael S. Hill Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Lawton R. Graves Arbitrator(s): G. Maynard Green, Gwendolyn Canady, Demeita M Johnson Hearing Site: Houston, TX
| | $0 |
20-03293 | 03/24/2022 | Claimant(s): Jeffrey Trosen, Susan Trosen Claimant Lawyers(s): Michael S. Hill Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Lawton R. Graves Arbitrator(s): John J. Fitzpatrick, Jonathan H. Krotinger, Lynn Hirschfeld Brahin Hearing Site: Bismarck, ND
| | $70,000 |
21-01879 | 02/16/2022 | Claimant(s): Bennett Weiss IRA, Bennett Weiss SEP IRA, Denise Weiss IRA, Denise Weiss SEP IRA Claimant Lawyers(s): Michael S. Hill Respondent(s): Pruco Securities. Respondent Lawyers(s): Andrew S. Azarmi Arbitrator(s): Julian F. Santos, Barry Steven Port, Brian John Gallagher Hearing Site: New York, NY
| | Dismissed by Rule 12206 |