| 23-01616 | 07/11/2024 | Claimant(s): Francesco Rappa, Rosa Rappa
Claimant Lawyers(s): William B. Young
Respondent(s): Intercarolina Financial Services.
Respondent Lawyers(s): Joseph E. Navolanic
Arbitrator(s): Stuart K. Furman
Hearing Site: Raleigh, NC
|  | $18,600 |
| 23-00716 | 10/12/2023 | Claimant(s): Colleen Rosenberg Tod
Claimant Lawyers(s): William B. Young
Respondent(s): Cape Securities.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | Expungement |
| 23-00267 | 09/05/2023 | Claimant(s): Marcia Litrenta
Claimant Lawyers(s): William B. Young
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 22-02049 | 07/13/2023 | Claimant(s): Allen Markland, Carole Appleton, Danielle (Appleton) Caponigro, Deborah (Appleton) Gallant, John Markland, Robert Markland, Timothy Appleton
Claimant Lawyers(s): William B. Young
Respondent(s): Gerard Kelly, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig Stein
Arbitrator(s): Gary M. Landau, Robert Lawrence Ostrov, Lisa Jane Austein
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 22-00437 | 06/07/2023 | Claimant(s): Estate of Dolores Sarro
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Stuart K. Furman, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
| | Expungement |
| 22-01936 | 05/12/2023 | Claimant(s): Gene Whobrey, Susanne Whobrey
Claimant Lawyers(s): William B. Young
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Charles E. White, Samuel Appel, Olivia Corrie Smith
Hearing Site: Atlanta, GA
| | Dismissed with Rule 12206 |
| 21-00547 | 07/11/2022 | Claimant(s): Gary Miller, Martha Miller
Claimant Lawyers(s): William B. Young
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Stuart K. Furman, Mauricio Arcadier, John Briggs
Hearing Site: Orlando, FL
| | Expungement |
| 19-02891 | 12/08/2021 | Claimant(s): Amalia Colon De Santana, Carlos Santana Lugo
Claimant Lawyers(s): William B. Young
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Harold Craig Cohen
Hearing Site: San Juan, PR
| | Expungement |
| 19-02389 | 01/06/2021 | Claimant(s): Jean Johnson, Pamela Johnson, Thomas Johnson
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Hall, Kingsbury Capital.
Respondent Lawyers(s): Benjamin B. Coulter, Peter B. King
Arbitrator(s): Stuart K. Furman, Thomas Joseph Atkinson, Gayle B. Carlson
Hearing Site: Orlando, FL
| | Expungement |
| 17-00676 | 08/05/2019 | Claimant(s): Juan Sequeda, Sonia Torres Subira
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | Expungement |
