| 19-03440 | 11/05/2021 | Claimant(s): Richard Pierre
Claimant Lawyers(s): Paul Radvany
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
|  | $38,104 |
| 18-00118 | 11/05/2021 | Claimant(s): Amy Hourigan, Glenn Hourigan, IRA FBO Amy R. Hourigan, IRA FBO Glenn K. Hourigan
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Robert Ginsberg, Cetera Advisors LLC, Investors Capital Corp., Ginsberg Financial Advising
Respondent Lawyers(s): Brian J. Palmeri, Kate Digeronimo
Arbitrator(s): Mae A. Brudner, Eileen Devaney Leo, Charles W. Danis
Hearing Site: Hartford, CT
| | Stipulated Award |
| 19-03215 | 11/05/2021 | Claimant(s): Barry E. Loughrane Revocable Trust
Claimant Lawyers(s): Jenice Malecki
Respondent(s): Paul Majane, Lincoln Financial Advisors Corporation, Moors & Cabot.
Respondent Lawyers(s): Eric Michaels, Robert A. Giacovas, Robert J. Harvey
Arbitrator(s): Jill Pilgrim, David Holmes, Richard H Leitman
Hearing Site: New York, NY
| | Expungement |
| 20-01900 | 11/04/2021 | Claimant(s): Joseph Serensits
Claimant Lawyers(s): Eric D. Edwards
Respondent(s): Firhan Choudhary, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Barbara Black, Michael E. Weddington, John Russell Barlow
Hearing Site: Raleigh, NC
| | Expungement |
| 21-00522 | 11/04/2021 | Claimant(s): Jason McGowan
Claimant Lawyers(s): Jason Roy McGowan
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer Burke
Arbitrator(s): Herbert Liberman
Hearing Site: Albuquerque, NM
| | $0 |
| 21-02259 | 11/04/2021 | Claimant(s): Fredrick Schiffle
Claimant Lawyers(s): Kevin P. Kruppnick
Respondent(s): Joseph Thurnherr
Respondent Lawyers(s): Joseph Morris Thurnherr
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Boise, ID
| | $0 |
| 21-00620 | 11/03/2021 | Claimant(s): Kristen Graham
Claimant Lawyers(s): Norman W. Graham
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Barry Goldman
Hearing Site: Louisville, KY
| | $0 |
| 20-01836 | 11/02/2021 | Claimant(s): Retina Consultants, P.C., P.C. Pension Plan
Claimant Lawyers(s): John B. Long
Respondent(s): Raymond Benjamin, South State Bank, Successor GBTL Financial LLC
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Carleton E. Blankenburg, Bruce W. Bennett, Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
| | Expungement |
| 20-00478 | 11/02/2021 | Claimant(s): Christine Kearney
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): LPL Financial LLC, Gregory Kearney
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Mark H. Stein, Douglas A. Eldridge, Ronald F Thompson
Hearing Site: Syracuse, NY
| | $0 |
| 20-00604 | 11/01/2021 | Claimant(s): James Rader
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Carina Koble
Arbitrator(s): Robert H. Putnam, Yaminah Childress, Jeffrey Kimar Coleman
Hearing Site: Atlanta, GA
| | $194,404 |
