| 19-02077 | 02/07/2020 | Claimant(s): Michael O'Reilly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Ronald T. Klimas, Compliance Director
Arbitrator(s): Michael S. Matek
Hearing Site: St. Louis, MO
| | |
| 18-01117 | 11/14/2018 | Claimant(s): Frank Cuenca
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network, Llc
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 18-01253 | 09/27/2018 | Claimant(s): Timothy Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 17-01946 | 03/26/2018 | Claimant(s): Michael Williams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services., Securities Service Network.
Respondent Lawyers(s): Robert M. Rudnicki, Ronald T. Klimas
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | |
| 16-03494 | 11/21/2017 | Claimant(s): Securities Service Network.
Claimant Lawyers(s): Ronald T. Klimas
Respondent(s): Steven Conners
Respondent Lawyers(s): Steven Craig Conners
Arbitrator(s): Richard Marc Weinroth
Hearing Site: Phoenix, AZ
| | |
| 13-01693 | 09/17/2014 | Claimant(s): Steven Halliwell
Claimant Lawyers(s): Steven E. Halliwell
Respondent(s): Linda Miller, Nationwide Investment Services Corporati, Securities Service Network., Walnut Street Securities.
Respondent Lawyers(s): Abigail D. Elrod, Joanna M.F. Wilcomes, Ronald T. Klimas, Victoria A. Flinn
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 14-00370 | 07/24/2014 | Claimant(s): Lewis Dallas
Claimant Lawyers(s): Lewis S. Dallas
Respondent(s): Michael Ganci
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Daniel M. Mankowski
Hearing Site: Buffalo, NY
| | $8,438 |
| 13-02273 | 07/17/2014 | Claimant(s): Thomas Hake
Claimant Lawyers(s): Joan M Swartz
Respondent(s): Ethan Rush, Ronald Klimas, Securities Service Network.
Respondent Lawyers(s): J. Christopher Wehrle, Ronald T. Klimas, Ronald T. Klimas Chief Compliance
Arbitrator(s): Albert J. Haller
Hearing Site: St. Louis, MO
| | |
| 10-05530 | 04/17/2012 | Claimant(s): Patricia Sturgis, Revocable Grantor Trust of June M. Davis
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Securities Service Network.
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Paul M. Foster, Julius Z. Frager, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | Expungement |
