22-02893 | 01/17/2024 | Claimant(s): Daniel Walter Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Lawton R. Graves Arbitrator(s): Richard W. Dissen Hearing Site: Buffalo, NY
| | Expungement |
23-00047 | 12/06/2023 | Claimant(s): Tastyworks. Claimant Lawyers(s): Thomas G. Haskins Respondent(s): Mehran Khavarian Respondent Lawyers(s): Mehran Khavarian Arbitrator(s): Richard W. Dissen Hearing Site: Montpelier, VT
| | $0 |
22-02714 | 06/21/2023 | Claimant(s): James Alonge Claimant Lawyers(s): James A. Alonge Respondent(s): Gregory Romes Respondent Lawyers(s): David Markun Arbitrator(s): Richard W. Dissen Hearing Site: Cincinnati, OH
| | $213 |
20-03955 | 05/17/2023 | Claimant(s): Isabelita Wijangco, Isabelita Wijangco IRA, Isabelita Wijangco Revocable Trust Claimant Lawyers(s): Michael A. Valenti Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Niels P. Murphy Arbitrator(s): Richard W. Dissen Hearing Site: Louisville, KY
| | Expungement |
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 |
21-00204 | 12/22/2022 | Claimant(s): Carol Boogher, Joel Boogher Claimant Lawyers(s): Joseph C. Korsak Respondent(s): Michael Nigro, MML Investors Services Respondent Lawyers(s): Barry Temkin, Julie E. Ravis Arbitrator(s): Richard W. Dissen, Michael D. McDowell, Mary Kathleen Mackey Hearing Site: Pittsburgh, PA
| | Expungement |
22-01770 | 12/09/2022 | Claimant(s): Michael Walters Claimant Lawyers(s): Michael Walters Respondent(s): Ally Invest Securities LLC Respondent Lawyers(s): John O. Lukanski Arbitrator(s): Richard W. Dissen Hearing Site: Cincinnati, OH
| | $0 |
20-03596 | 02/22/2022 | Claimant(s): Sherita Booker Claimant Lawyers(s): Sherita Quana Booker Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Kathryn B. Rockwood Arbitrator(s): Richard W. Dissen, Eileen B. Vernon, Karl Strohbehn Hearing Site: Cleveland, OH
| | $0 |
20-00839 | 12/28/2021 | Claimant(s): Bruce Rogers, Kent Rogers Claimant Lawyers(s): Richard B. Fosher Respondent(s): Dinosaur Financial Group, L.L.C Respondent Lawyers(s): M. William Munno Arbitrator(s): Amelia F. Adams, Richard W. Dissen, Allen M. Kerpan Hearing Site: Louisville, KY
| | $0 |
21-00676 | 11/15/2021 | Claimant(s): Serdar Ayman Claimant Lawyers(s): Serdar Ayman Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Richard W. Dissen Hearing Site: Pittsburgh, PA
| | $0 |