| 23-00701 | 11/20/2023 | Claimant(s): Marc Basist
Claimant Lawyers(s): Adam Gana
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206(b) |
| 20-03899 | 12/30/2022 | Claimant(s): Cranston Fire & Police Dept Pension Plan
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Mary C. Kelleher, John James McGovern, Patrick R. Westerkamp
Hearing Site: Providence, RI
| | Expungement |
| 17-01238 | 08/15/2022 | Claimant(s): Robert Little
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Andrew Drago, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Robert J. Scafuri, John James McGovern, Walter Meagher
Hearing Site: Syracuse, NY
| | $0 |
| 21-01206 | 01/06/2022 | Claimant(s): Jose Batista
Claimant Lawyers(s): August M. Iorio
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): John James McGovern
Hearing Site: Hartford, CT
| | $29,611 |
| 21-01492 | 10/14/2021 | Claimant(s): Matthew Plevelich
Claimant Lawyers(s): Matthew Plevelich
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $0 |
| 21-00459 | 09/30/2021 | Claimant(s): France David
Claimant Lawyers(s): Yves David
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Bryan Ward
Arbitrator(s): Ronald L. Cheney, Patrick W. McKeon, John James McGovern
Hearing Site: Augusta, ME
| | Dismissed by Rule 12504 |
| 20-02888 | 05/13/2021 | Claimant(s): Gerald Corrigan
Claimant Lawyers(s): Gerald A. Corrigan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $125 |
| 20-00128 | 08/11/2020 | Claimant(s): Harold Youngren
Claimant Lawyers(s): Steven G. Legum
Respondent(s): John Parmigiani, Matthew Meehan, Robert Costomiris, Allied Millennial Partners
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): John James McGovern
Hearing Site: Augusta, ME
| | $300 |
| 18-03605 | 08/23/2019 | Claimant(s): Mary Harger
Claimant Lawyers(s): Victor J. Segale
Respondent(s): Collin Fingon, Cetera Advisors LLC
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): John James McGovern
Hearing Site: Montpelier, VT
| | $0 |
| 19-00145 | 05/09/2019 | Claimant(s): Sugam Vasani
Claimant Lawyers(s): Sugam Vasani
Respondent(s): Robinhood Financial, Robinhood Securities
Respondent Lawyers(s): Scott I. Friedman, Scott Friedman
Arbitrator(s): John James McGovern
Hearing Site: Pittsburgh, PA
| | $22,570 |
