| 13-02047 | 06/10/2015 | Claimant(s): Linnea Sams, Linnea B. Sams Revocable Living Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): National Securities Corporation, Louis Rogers
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Robert S. Zuckerman, Donald B. Katz, Michael Andrew Glasser
Hearing Site: Norfolk, VA
|  | Expungement |
| 12-02032 | 03/03/2014 | Claimant(s): Daniel Baron
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Adam Riback, National Securities Corporation
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Fred S. Pieroni, Barbara Weisman, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 11-02908 | 12/09/2013 | Claimant(s): Virginia Larson
Claimant Lawyers(s): James J. Moylan
Respondent(s): Darrell Sitarz, National Securities Corporation, Mark Bruscianelli, Navisis Financial
Respondent Lawyers(s): Company President, Dave Gaba, James J. Moylan, James Barbee
Arbitrator(s): Mary A. Duffy, Epaminondas Eddie Manelis, Robert Alan Murphy
Hearing Site: Chicago, IL
| | $219,070 |
| 12-00058 | 03/18/2013 | Claimant(s): Joseph Westerland
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Christopher Bond, National Securities Corporation
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Paul J. Greco
Hearing Site: Wilmington, DE
| | Expungement |
| 11-04458 | 11/08/2012 | Claimant(s): Gerald Hummel, Ila Hummel, Hummel Family Trust dtd 8/8/01
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Kay Johnson
Arbitrator(s): Edmund Herbert Hecht
Hearing Site: Orlando, FL
| | $75,000 |
| 09-06699 | 12/14/2011 | Claimant(s): National Securities Corporation, Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): D. Dorsey
Respondent Lawyers(s): Bruce V. Schewe
Arbitrator(s): Frederick S. Duncan, Mark A. Myers, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
| | $72,312 |
| 10-02766 | 05/24/2011 | Claimant(s): Brent Richtsmeier
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Jack Kalisz, National Securities Corporation, Joseph Stevens & Co..
Respondent Lawyers(s): Josepha Sorbara, Mark Roth
Arbitrator(s): Annette Gres Shepherd, Robert E. Jenks, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-00468 | 10/23/2007 | Claimant(s): Donald Ball, individually & as Ttee
Claimant Lawyers(s): Brian A. Comer
Respondent(s): Francisco Tineo, National Securities Corporation, Kevin Guzman
Respondent Lawyers(s): Francisco Javier Tineo, James D. Brice, Kevin Guzman
Arbitrator(s): Thomas C. Harris, Kenneth A. Rash, Sanford S. Finder
Hearing Site: Columbia, SC
| | $159,200 |
| 05-06369 | 09/21/2007 | Claimant(s): Davenport Alley Partnership
Claimant Lawyers(s): Steven S. Biss
Respondent(s): National Securities Corporation, Steve Taton
Respondent Lawyers(s): Mark Roth, William G. Shields
Arbitrator(s): Anne W. Larkin, Emerson R. Marks, W. Scott Greco
Hearing Site: Richmond, VA
| | $0 |
