| 23-03010 | 07/24/2024 | Claimant(s): John Girgis
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Worden Capital Management LLC, Brookstone Securities., Legend Securities.
Respondent Lawyers(s): David W. Locy, Jamie J. Worden, Salvortore C. Caruso
Arbitrator(s): Jeffrey Alan Helewitz, Kathleen Cawley, Gerald M. Levine
Hearing Site: New York, NY
| | |
| 16-02801 | 06/07/2017 | Claimant(s): Fred Schiffler
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Brent Porges, David Cannata, Brookstone Securities., Craig Scott Capital
Respondent Lawyers(s): Brent Morgan Porges, Craig Taddonio, David Charles Cannata, David W. Locy
Arbitrator(s): Dean J. Dietrich
Hearing Site: Boise, ID
|  | $260,739 |
| 15-02268 | 04/12/2017 | Claimant(s): Kenneth Vanderlinde
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Antony Turbeville, David Locy, Edgar Thomas, Ehab Shalaby, Elvin Lopez, Kyong Kim, Philip Fatta, Brookstone Securities.
Respondent Lawyers(s): David W. Locy, Ehab Ahmed Shalaby, Elvin J. Lopez, Joshua A. Katz, Kyong H. Kim, Marc L. Abramson
Arbitrator(s): Michael S. Jordan
Hearing Site: Minneapolis, MN
| | $36,877 |
| 15-02488 | 12/07/2016 | Claimant(s): Karl Roberts
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Casey Rodriguez, Richard Brown, Brookstone Securities.
Respondent Lawyers(s): Casey Thomas Rodriguez, David W. Locy, Richard Lydon Brown
Arbitrator(s): Roger B. Jacobs
Hearing Site: New York, NY
| | $72,358 |
| 14-02705 | 10/27/2015 | Claimant(s): James and Agnes Kane
Claimant Lawyers(s): James Kane
Respondent(s): Joseph Carrino, Victor Lessinger, Brookstone Securities.
Respondent Lawyers(s): David Locy, Joseph Michael Carrino, Victor Alan Lessinger
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
| | $16,480 |
| 13-02069 | 05/01/2015 | Claimant(s): James Briggs, Louisa Briggs
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Brent Porges, Craig Taddonio, David Cannata, David Locy, Brookstone Securities., Craig Scott Capital
Respondent Lawyers(s): Harry Delagrammatikas, William M. Dolan
Arbitrator(s): Timothy F. Shanahan, John Francis Markuns, B. J. Krintzman
Hearing Site: Providence, RI
| | $438,454 |
| 10-04805 | 10/12/2011 | Claimant(s): James Rathgeber
Claimant Lawyers(s): James A. Rathgeber
Respondent(s): Antony Turberville, David Locy, David McCoy, Denise Zumbrun, Kyong Kim, Paul Balog, Phil Fatta, Brookstone Securities.
Respondent Lawyers(s): Christopher L. Van De Water, Marc L. Abramson
Arbitrator(s): Gilbert F. Bach, Mary Lou McGanney, Marion F. Posner
Hearing Site: New York, NY
| | |
| 08-02937 | 10/05/2009 | Claimant(s): Ertel Revocable Trust
Claimant Lawyers(s): Joseph A. Ertel
Respondent(s): Tony Turbeville, Brookstone Securities.
Respondent Lawyers(s): Brian P. Sweeney
Arbitrator(s): Robert J. Morris, Paul E. Flora, Philip C. Bennett
Hearing Site: Tampa, FL
| | $50,250 |
