| 12-02925 | 11/13/2015 | Claimant(s): Lettita Bollon, Richard Bollon, NFS/FMTC Rollover IRA-FBO Richard J. Bol, Richard J. Bollon DDS PC, Richard J. Bollon TTEE, Richard J. Bollon PSP
Claimant Lawyers(s): James G. Marsh
Respondent(s): Stanley Brooks, Brookstreet Securities Corporation, Troy Gagliardi
Respondent Lawyers(s): Sam Silverstein, Troy L. Gagliardi
Arbitrator(s): Richard W. Cutler, Anita Sippy, Gladys Mond
Hearing Site: New York, NY
|  | $0 |
| 09-00268 | 02/03/2011 | Claimant(s): Avis Nakama, Barbara Porter, Kazuko Tietz, Laureen Branch, Marjorie Parker, Melvin Aoki, Piikoi Kawananakoa, Blur Industries., Branch Holdings., Just Black, Lum Borthers, Avis Y. Nakama Trust, Barbara Porter Revocable Trust, Melvin R. Aoki Revocable Living Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Clifford Popper, Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Travis Branch, William Betta
Respondent Lawyers(s): Brian J. Ellis, Clifford Alan Popper, H Thomas Fehn, Kevin G. Fitzgerald, Michael R. Weissman, Tracy L. Gerber, Travis Anthony Branch
Arbitrator(s): Harry B. Endsley, Harriette L. Holt, Richard Bruce Dole
Hearing Site: Honolulu, HI
| | Expungement |
| 09-03831 | 11/01/2010 | Claimant(s): Kathy Richardson
Claimant Lawyers(s): Jason C. Ridgell
Respondent(s): John Means, Matthew Wilson, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, John Francis Means, Matthew Bryan Wilson
Arbitrator(s): Richard P. Regan, Vicky L. Orem, Joan M. Smith
Hearing Site: Baltimore, MD
| | $891,856 |
| 07-03390 | 10/01/2010 | Claimant(s): Sharon Larocque, IRA
Claimant Lawyers(s): Sharon Larocque
Respondent(s): Travis Branch, Brookstreet Securities Corporation
Respondent Lawyers(s): H Thomas Fehn, Travis A. Branch
Arbitrator(s): Harry B. Endsley, Gary A. Hooker, Carol M. Egan
Hearing Site: Honolulu, HI
| | $0 |
| 08-04912 | 08/19/2010 | Claimant(s): Alan Schildhorn, David LaVance, Erin Koury, Grady Hunt, Howard McNeil, Jeffrey Koury, Martha LaVance, NFS/FMTC Rollover IRA FBO Howard & Donna
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Ted Nelson, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Kevin J. Woods, Tracy L. Gerber
Arbitrator(s): John B. Wells, Donald S. Simons, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 09-00120 | 07/22/2010 | Claimant(s): Arthur Taub, Carol Page, Donald Shepard, Esther Stevens, Jeffrey Stevens, Nancy Stevens, Suzanne Helgerson, Travis Bryant, Warren Helgerson, Carol A. Page Roth IRA, Arlan and Barbara Pfohl, Arlan L. & Barbara L. Pfohl Family Trus
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, William Betta, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Jason S. Pinney, Kevin K. Fitzgerald, Tracy L. Gerber
Arbitrator(s): Douglas Martin Crow, Joseph W. Cheek, Paul R. Meyer
Hearing Site: Portland, OR
| | Expungement |
| 07-01216 | 03/22/2010 | Claimant(s): Herbert and Dorthy Thiry
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Robert Schultz, Scott Magallanes, Steve Skytte, Brookstreet Securities Corporation
Respondent Lawyers(s): Elizabeth Lowery, H Thomas Fehn, Scott Lee Magallanes, Steve Skytte
Arbitrator(s): James B. Vessey, Jonathan H. Larson, Barry H. Barnett
Hearing Site: Albuquerque, NM
| | $135,000 |
| 06-01374 | 03/03/2010 | Claimant(s): Dennis Lynch
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): H. Fehn, John Meyers, K. Garrett, Katheleen McPherson, Russell Riccobono, Scott Brooks, Scott Magallanes, Stanley Brooks, Stephen Washburn, Steve Skytte, Brookstreet Securities Corporation, First Providence Financial Group, The Brooks Family Trust
Respondent Lawyers(s): H. Thomas Fehn, John M. Meyers, K. Michael Garrett, Katheleen M. McPherson, Russell Robert Riccobono, Scott Lee Magallanes, Stephen P. Washburn, Steve Skytte, Steven W. Schaefer
Arbitrator(s): John P. Scordo, Alan K. Bloom, Joseph Michael Dougherty
Hearing Site: Newark, NJ
| | $24,400 |
| 09-02500 | 11/13/2009 | Claimant(s): Elizabeth Dankman
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation
Respondent Lawyers(s): Alex Sabo, H. Thomas Fehn, Michael G. Shannon, Tracy L. Gerber
Arbitrator(s): Alexander I. Heckman, Peter A. Cartwright, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 06-05031 | 02/20/2009 | Claimant(s): Barbara Zickler IRA
Claimant Lawyers(s): Justin R. Sawyer
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): Thomas H. Fehn
Arbitrator(s): James B. Vessey, Peter J. Broullire, Edward Allan Hindman
Hearing Site: Albuquerque, NM
| | Stipulated Award |
