| 19-02215 | 06/02/2021 | Claimant(s): John Gorsline, Susan Rhodes-Greene
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Barry Goldman, Gerald W. Hepp, Joseph Maron Hanna
Hearing Site: Buffalo, NY
|  | Expungement |
| 19-01849 | 05/06/2021 | Claimant(s): James Cox
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Daniel Soliman, Mario Divita, Traderfield Securities Inc.
Respondent Lawyers(s): Daniel M. Soliman, Mario Divita
Arbitrator(s): Barry Goldman
Hearing Site: Milwaukee, WI
| | Expungement |
| 20-02694 | 04/26/2021 | Claimant(s): Nicholas Losinno
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): LPL Financial LLC, Thomas Fross
Respondent Lawyers(s): Tracey Salomon-Smith
Arbitrator(s): Jim Geiger, Barry Goldman, James T. Carney
Hearing Site: Pittsburgh, PA
| | $0 |
| 18-03398 | 08/24/2020 | Claimant(s): George Wildrick
Claimant Lawyers(s): Frank Aiello
Respondent(s): Wells Fargo Clearing Services, Robert Lyons
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Barry Goldman, Patrick R. Sughroue, Tracy L. Allen
Hearing Site: Detroit, MI
| | $54,532 |
| 19-00367 | 05/13/2020 | Claimant(s): Steve Smith
Claimant Lawyers(s): Mark S. Simms
Respondent(s): Miles James, Cetera Investment Services LLC
Respondent Lawyers(s): Christina Z. Vourakis, Jeremy A. Root
Arbitrator(s): Barry Goldman
Hearing Site: St. Louis, MO
| | $0 |
| 19-00418 | 04/30/2020 | Claimant(s): Barney Golden
Claimant Lawyers(s): J. Key Schoen
Respondent(s): UBS Financial Services Inc., Regina Onkst
Respondent Lawyers(s): Michael T. Leigh
Arbitrator(s): Robert J. Scafuri, Barry Goldman, John R. Michael
Hearing Site: Louisville, KY
| | Settlement |
| 18-04121 | 02/18/2020 | Claimant(s): Rosemary Lanzo
Claimant Lawyers(s): Michael J. Betts
Respondent(s): John Lisowski, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Barry Goldman, Michael S. Berman, John Joseph Neely
Hearing Site: Pittsburgh, PA
| | $500,000 |
| 17-02559 | 12/24/2019 | Claimant(s): Robert Liggett, Victoria Liggett, Liggett Investments LLC, Liggett Ventures LLC, Robert G. Liggett, Jr., Custodian, Victoria L. Liggett, Trustee
Claimant Lawyers(s): Dennis J. Levasseur
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Timothy J. Currier, Barry Goldman, Betty R. Widgeon
Hearing Site: Detroit, MI
| | Settlement |
| 18-02951 | 04/22/2019 | Claimant(s): Shirley Kube
Claimant Lawyers(s): Shirley L. Kube
Respondent(s): Cambridge Investment Research., Robert McCalmont
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Barry Goldman
Hearing Site: Pittsburgh, PA
| | $0 |
| 17-02819 | 03/23/2018 | Claimant(s): Richard Westin
Claimant Lawyers(s): Richard Westin
Respondent(s): J.J.B. Hilliard, W.L. Lyons, Randal Master
Respondent Lawyers(s): J. Curtis McCubbin
Arbitrator(s): Barry Goldman
Hearing Site: Louisville, KY
| | $300 |
