| 20-00468 | 10/30/2020 | Claimant(s): Tracey Drabant
Claimant Lawyers(s): Tracey Drabant
Respondent(s): Jonathan Kuhn, Allegheny Investments, Ltd.
Respondent Lawyers(s): Matthew S. Hardin
Arbitrator(s): Jim Geiger, Richard W. Dissen, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
|  | $5,000 |
| 18-03635 | 10/14/2019 | Claimant(s): Linda Gouza, Theodore Gouza
Claimant Lawyers(s): Chad M. Ostrosky
Respondent(s): LPL Financial LLC, Bryan Davis
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Richard W. Dissen, Edward W. Morris, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | $0 |
| 17-01434 | 06/05/2019 | Claimant(s): 0
Claimant Lawyers(s): 0
Respondent(s): Gregory Bauer, Waddell & Reed
Respondent Lawyers(s): Gregory R. Bauer, Richard H. Kuhlman
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
| | $420,824 |
| 18-03717 | 05/23/2019 | Claimant(s): Paul Garber
Claimant Lawyers(s): Hilton Wiener
Respondent(s): James Schwartz, Aegis Capital Corp.
Respondent Lawyers(s): James Bradley Schwartz, Michael P. Gilmore
Arbitrator(s): Richard W. Dissen
Hearing Site: Augusta, ME
| | $300 |
| 17-00740 | 06/13/2018 | Claimant(s): Frank A. Rossi Sr and Catherine M. Rossi
Claimant Lawyers(s): Kevin T. O'Brien
Respondent(s): James Honaker, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Richard W. Dissen, L. Paul Kehoe, Ronald F Thompson
Hearing Site: Buffalo, NY
| | $11,316 |
| 15-03368 | 11/25/2016 | Claimant(s): Whitman Evans
Claimant Lawyers(s): Michael J. Betts
Respondent(s): Charles Correal, Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Susan M. Thevenet, Richard W. Dissen, Miles David Braverman
Hearing Site: Pittsburgh, PA
| | $0 |
| 14-02746 | 04/29/2015 | Claimant(s): Jack Darby
Claimant Lawyers(s): T John Kirk
Respondent(s): Sanjay Bhargava
Respondent Lawyers(s): Neil D. Petkovic
Arbitrator(s): Richard W. Dissen
Hearing Site: Cleveland, OH
| | $32,907 |
| 14-00380 | 04/28/2015 | Claimant(s): A. Paul, Geneva BCCX XIV, Lionsgate TIC 29, SHS Houston 28
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Richard W. Dissen, Timothy Shay Davis, Rosemary Christina Crawford
Hearing Site: Pittsburgh, PA
| | Expungement |
| 13-03674 | 04/02/2015 | Claimant(s): Consuela Campana, Michael Donovan, Estate of Virginia Campana
Claimant Lawyers(s): Michael J Betts
Respondent(s): Edward Brown, UBS Financial Services Inc., Louis Sforza
Respondent Lawyers(s): Nicholas P. Vari
Arbitrator(s): Richard W. Dissen, Paul Harry Hill, Mark Alexander Sipper
Hearing Site: Pittsburgh, PA
| | $0 |
| 12-02953 | 06/04/2013 | Claimant(s): Harley Collins
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Richard W. Dissen
Hearing Site: Cleveland, OH
| | Dismissed by Rule 12206 |
