22-00372 | 01/13/2023 | Claimant(s): Allan Norris, Carol Norris, The Carol D. Norris Estate Planning Claimant Lawyers(s): Meghan L. McElligott Respondent(s): Kovack Securities Inc Respondent Lawyers(s): Debra A. Jenks Arbitrator(s): Richard W. Dissen Hearing Site: Columbus, OH
| | Expungement |
20-01681 | 01/06/2021 | Claimant(s): Cynthia Foster, Cynthia M. Foster IRA Claimant Lawyers(s): Kirk G Smith Respondent(s): Kovack Securities Inc, Susan Penney Respondent Lawyers(s): Debra A. Jenks Arbitrator(s): Raymond C. Kerr, Randy Paul Bowser, Ben Hilfiger Hearing Site: Oklahoma City, OK
| | Expungement |
17-01680 | 09/20/2018 | Claimant(s): Diana Needham Claimant Lawyers(s): Jonathan Kurta Respondent(s): Geoffrey Frazier, Timothy Lyle Respondent Lawyers(s): Brian A. Carlis, Debra A. Jenks Arbitrator(s): Leonard E. Benade, Muriel Desloovere, Michael J. Pasquale Hearing Site: Raleigh, NC
| | Expungement |
16-03721 | 03/07/2018 | Claimant(s): Sterling Huntley Claimant Lawyers(s): Alan R. Perry Respondent(s): Apex Clearing Corporation, TradingBlock Respondent Lawyers(s): Debra A. Jenks, Jonathan D. Neerman Arbitrator(s): Harvey R. Linder, Deborah Johns Tatum, George Pinckney Shingler Hearing Site: Atlanta, GA
| | $0 |
16-00902 | 08/28/2017 | Claimant(s): Thomas E. Krause Claimant Lawyers(s): Debra A. Jenks Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Denis C. Dice Arbitrator(s): Steven N. Ainbinder, Donald Theodore Ryce, Andrew David Kahng Hearing Site: Boca Raton, FL
| | Expungement |
16-01234 | 07/17/2017 | Claimant(s): Alan Rosenthal Family Trust Claimant Lawyers(s): Debra A. Jenks Respondent(s): Wells Fargo Advisors, Russell Blum Respondent Lawyers(s): Deirdre C. Wolff, Russell Scott Blum Arbitrator(s): Edward W. Morris Hearing Site: Hartford, CT
| | Expungement |
13-02570 | 07/29/2015 | Claimant(s): Carmella Cummings Claimant Lawyers(s): Richard B Fosher Respondent(s): Northstar Financial Partners. Respondent Lawyers(s): Debra A. Jenks Arbitrator(s): Jeffry M. Bauer, Jacqueline R. Fox, Gary L. Bender Hearing Site: Detroit, MI
| | Expungement |
13-01790 | 03/24/2015 | Claimant(s): Larry Davis and Barbara Davis, JTTEN Claimant Lawyers(s): Debra A. Jenks Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Judy Louie Arbitrator(s): Robert L. Agusto, Ronald A. Lavery, Michael I. White Hearing Site: Chicago, IL
| | Expungement |
13-01787 | 09/12/2014 | Claimant(s): Annette Bosco, Diane Rubel, Mary Borowiak, Michael Borowiak, Richard Rubel, The Bosco Family Trust 6/25/96, The Bosco Family Trust 7/31/96, The Mary Borowiak Trust Claimant Lawyers(s): W. Scott Greco Respondent(s): Richard Landi, Robert Mather, Roger Leibowitz, RBC Capital Markets LLC, Allied Beacon Partners. Respondent Lawyers(s): Debra A. Jenks, Ronald Kane, Steven S. Biss Arbitrator(s): Theodore W. Wrobleski, Mary A. Duffy, Raymond P. Buschmann Hearing Site: Chicago, IL
| | Stipulated Award |
13-01269 | 05/02/2014 | Claimant(s): Patricia Wimmer Claimant Lawyers(s): Scott D. Hirsch Respondent(s): David Neilon, Allied Beacon Partners., American Beacon Partners., Beacon Acquisition Partners. Respondent Lawyers(s): Debra A. Jenks, James Hintz, Robert P. Mather Arbitrator(s): Jerry D. Mc Cormack, Sondra Sellars, Richard H. Porter Hearing Site: Milwaukee, WI
| | $0 |