| 16-03454 | 04/25/2019 | Claimant(s): James Fitzpatrick, Sandra Fitzpatrick, The Fitzpatrick Family Trust
Claimant Lawyers(s): Jason J. Kane
Respondent(s): AXA Advisors
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain, Thomas E. Webb, Krista Gottlieb
Hearing Site: Buffalo, NY
|  | $3,181,830 |
| 17-02035 | 11/20/2018 | Claimant(s): Kenneth Ebbe
Claimant Lawyers(s): Blake Godbout
Respondent(s): Jill Cody, Richard Cody, Concorde Investment Services, Westminster Financial Advisory Corp., Westminster Financial Securities.
Respondent Lawyers(s): Gerry J. Kowalski, Jill M. Cody, Joseph S. Simms, Richard Grant Cody
Arbitrator(s): James R. Collins, Christine R. Fitzgerald, Mary E. Bassett
Hearing Site: Boston, MA
| | $286,096 |
| 12-03083 | 08/01/2014 | Claimant(s): Angela Feagan, J. Thomas Feagan
Claimant Lawyers(s): Brian Herberth
Respondent(s): John Gould, PNC Investments
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain, Susan K. Hollenbach, Stephen P. Calardo
Hearing Site: Cincinnati, OH
| | Expungement |
| 13-00387 | 05/21/2014 | Claimant(s): Deborah Blair, John Blair
Claimant Lawyers(s): Michael J. Elliott
Respondent(s): PNC Investments LLC
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Benjamin B. Segel
Hearing Site: Cleveland, OH
| | Expungement |
| 12-03625 | 12/20/2013 | Claimant(s): Laurie Krauss, Laurie L. Krauss Trust UAD 03/27/12
Claimant Lawyers(s): David P Meyer
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Kathleen P. Helbig-Hannan, Robert M Lustig, Leroy Burton Parks
Hearing Site: Cleveland, OH
| | Expungement |
| 12-02066 | 07/22/2013 | Claimant(s): John Santiago
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Joel P. Mellis
Hearing Site: New York, NY
| | Expungement |
| 12-01901 | 04/24/2013 | Claimant(s): Norbert Carey
Claimant Lawyers(s): Norbert C. Carey
Respondent(s): Douglas Justice, PNC Investments
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Louisville, KY
| | $4,395 |
| 12-01060 | 04/17/2013 | Claimant(s): Angie Herschkoff
Claimant Lawyers(s): Joseph J. Gulino
Respondent(s): Chase Investment Services Corp., AXA Advisors
Respondent Lawyers(s): Joseph S. Simms, Renata Ortiz Bloom
Arbitrator(s): Marc S. Piven, Michael A. Levin, Mauricio Arcadier
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 11-00494 | 05/29/2012 | Claimant(s): Barnard Lewis Family Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Chase Investment Services Corp., WAMU Investments.
Respondent Lawyers(s): Erika Imre Schindler, Joseph S. Simms
Arbitrator(s): Herbert Liberman, Amy Seltzer, Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | Expungement |
| 10-05533 | 02/28/2012 | Claimant(s): Frank Porco, Mary Porco
Claimant Lawyers(s): Rebecca J. Maziarz
Respondent(s): Thomas Brancazio, U.S. Bancorp Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Donald J. Gilbert, Michael C. Hanzel, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | $0 |
