| 18-01124 | 08/07/2019 | Claimant(s): Richard Bodner
Claimant Lawyers(s): Jason T. Albin
Respondent(s): NYLife Securities LLC, William Mangano
Respondent Lawyers(s): Russell Sayre, Steven G. Janik
Arbitrator(s): William M. Getzoff, Robert H. Baker, Veronica A. Rice
Hearing Site: Cleveland, OH
|  | Expungement |
| 17-00926 | 12/22/2017 | Claimant(s): Jana Forster
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): LPL Financial LLC, Kodi Hermann
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): William M. Getzoff
Hearing Site: Indianapolis, IN
| | $10,889 |
| 15-03056 | 11/22/2016 | Claimant(s): Larry Douglas, Terra Douglas
Claimant Lawyers(s): Joseph Delich
Respondent(s): Larry Waldrop, Matthew Waldrop, Voya Financial Advisors.
Respondent Lawyers(s): C. Bryce Benson
Arbitrator(s): William M. Getzoff
Hearing Site: St. Louis, MO
| | $43,993 |
| 15-03254 | 10/20/2016 | Claimant(s): Mehmet Akin and Adrian Akin
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): William M. Getzoff, Lawrence W. Arness, William Gibson Heller
Hearing Site: Indianapolis, IN
| | $0 |
| 15-01030 | 06/16/2016 | Claimant(s): Robert Szabo
Claimant Lawyers(s): Russell Mark Nasteff
Respondent(s): UBS Financial Services Inc., Thomas Freeman
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): William M. Getzoff, Keith E. Mattern, Robert Joseph Osdieck
Hearing Site: St. Louis, MO
| | $0 |
| 14-03876 | 06/11/2015 | Claimant(s): Chad Waterhouse
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): William M. Getzoff
Hearing Site: Chicago, IL
| | $0 |
| 13-02257 | 04/02/2015 | Claimant(s): Caryn Andrews, Dorothy Clarke
Claimant Lawyers(s): Stephany McLaughlin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): William M. Getzoff, Eugene N. Halladay, James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
| 12-01815 | 07/01/2013 | Claimant(s): Cynthia Undesser, John Undesser, Richard Undesser
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): William M. Getzoff, Rody P. Biggert, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | $0 |
| 11-01174 | 03/16/2012 | Claimant(s): Leonard DeFranco
Claimant Lawyers(s): Adam S. Tracy
Respondent(s): Robert DeCanio, Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Joseph Giovanniello
Arbitrator(s): William M. Getzoff, Frank R. Niederman, Steven H. Vogel
Hearing Site: Chicago, IL
| | $0 |
