| 21-01442 | 06/26/2023 | Claimant(s): Jose Roberto Robles Gonzalez and
Claimant Lawyers(s): David R. Chase
Respondent(s): Ocean Financial Services
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Mark C. Perry, Steven N. Ainbinder, Gary Mathew Singer
Hearing Site: Boca Raton, FL
|  | Expungement |
| 21-01974 | 05/30/2023 | Claimant(s): Betty Sprague, Eric Orkin
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Triad Advisors LLC, Lion Street Financial
Respondent Lawyers(s): Gerry Kowalski, Kathy M. Klock
Arbitrator(s): Edward W. Morris, Howard N. Gorney, Sean Michalski
Hearing Site: Manchester, NH
| | Expungement |
| 21-01548 | 01/31/2023 | Claimant(s): Andres Rodriguez Martin
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ocean Financial Services
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Will Murphy, Michael D Felton, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02076 | 10/14/2022 | Claimant(s): Patti Plunkett, individually, The Estate of John E. Plunkett, IRA Account of John E. Plunkett, John E. Plunkett & Maureen Y. Plunkett
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Onnig Hatchig Dombalagian, Ralph Hamilton Schofield, Valerie Wilkins Blunt
Hearing Site: New Orleans, LA
| | Expungement |
| 20-01130 | 08/15/2022 | Claimant(s): Michline Saad
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Maria Calcena, Ocean Financial Services
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): S. Ronald Daniels, Robert G. Falbisaner, Mark A. Jacoby
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-03869 | 08/08/2022 | Claimant(s): Bonnie K. Johnston, Robert E. Johnston
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Lynn Hirschfeld Brahin, Gregory G. Gocek, Joan M. Esserman
Hearing Site: St. Louis, MO
| | Expungement |
| 21-02040 | 05/13/2022 | Claimant(s): Diana McDaniel, Marc McDaniel
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert Stewart Barney, MaryJane Rabier, Gerald Michael Richardson
Hearing Site: St. Louis, MO
| | Expungement |
| 19-03788 | 03/31/2022 | Claimant(s): De Mille RT DTD 1/26/93, De Mille TTEE
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Guy Harrigan, James Teegarden, Lion Street Financial, Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern, Kathy M. Klock
Arbitrator(s): Nicole T. LeBoeuf, Phyllis Sandra Hill, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 21-00029 | 07/22/2021 | Claimant(s): Elizabeth Fox
Claimant Lawyers(s): John H. Griffing
Respondent(s): Money Concepts Capital Corp.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
| 19-02966 | 05/03/2021 | Claimant(s): Christopher Portante, Karen Portante
Claimant Lawyers(s): Samuel Edwards
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Earle J. Schwarz, James Edward Seale, Geraldine R Daniels
Hearing Site: Birmingham, AL
| | Expungement |
