| 17-02199 | 07/18/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D Berg
Respondent(s): Lance Shaw
Respondent Lawyers(s): Lance Shaw
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
|  | $0 |
| 15-02104 | 03/07/2018 | Claimant(s): Lee Abrahamsen, Robert Abrahamsen, Robert Abrahamsen SER IRA, Robert & Lee Abrahamsen JTWROS
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Joseph Ninivaggi, Craig Scott Capital
Respondent Lawyers(s): Craig Taddonio, Joseph Ninivaggi
Arbitrator(s): Jim Geiger, Gregory Hunter Mathews, Peter L. Murray
Hearing Site: Augusta, ME
| | $65,000 |
| 17-02057 | 12/29/2017 | Claimant(s): Lee Abrahamsen, Robert Abrahamsen
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Brent Porges
Respondent Lawyers(s): Brent Morgan Porges
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Augusta, ME
| | $131,347 |
| 17-01915 | 11/13/2017 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Charles Jenkins
Respondent Lawyers(s): Charles M. Jenkins
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
| | |
| 15-02453 | 08/08/2017 | Claimant(s): Patricia Dash
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Fera Shivaee, Centaurus Financial.
Respondent Lawyers(s): Nathan E. Smith
Arbitrator(s): Robert P. Ross, Jane D. Lollis, Gregory Hunter Mathews
Hearing Site: Louisville, KY
| | Expungement |
| 16-03246 | 03/17/2017 | Claimant(s): Citizens Securities.
Claimant Lawyers(s): Michael E. Pastore
Respondent(s): Steven Alexander
Respondent Lawyers(s): Steven Preston Alexander
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Hartford, CT
| | |
| 15-03344 | 02/22/2017 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn D. Shaw
Respondent(s): Justin Hendrick
Respondent Lawyers(s): Justin Hendrick
Arbitrator(s): Richard E. Lauziere, Gregory Hunter Mathews, Linda Arlene Michler
Hearing Site: Norfolk, VA
| | |
| 15-01974 | 11/22/2016 | Claimant(s): Citizens Securities.
Claimant Lawyers(s): John K. Wells
Respondent(s): Michael Charest
Respondent Lawyers(s): Michael David Charest
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Manchester, NH
| | |
| 16-01341 | 11/08/2016 | Claimant(s): Patricia FitzPatrick, Henry B FitzPatrick Jr, Trust
Claimant Lawyers(s): Patricia F Donlon
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
| | $0 |
| 15-00626 | 09/01/2016 | Claimant(s): Gregory Broomer
Claimant Lawyers(s): Brittany Weiner
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Elise M. Bloom
Arbitrator(s): Michael Allen Zeiler, Gregory Hunter Mathews, Lorrie E Whitfield
Hearing Site: Philadelphia, PA
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