| 23-01321 | 06/07/2024 | Claimant(s): James Lineweaver
Claimant Lawyers(s): Gerry Kowalski
Respondent(s): Triad Advisors LLC, Sigma Financial Corporation
Respondent Lawyers(s): Amir Tadjedin, Jennifer R. Cox
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
| | |
| 21-01974 | 05/30/2023 | Claimant(s): Betty Sprague, Eric Orkin
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Triad Advisors LLC, Lion Street Financial
Respondent Lawyers(s): Gerry Kowalski, Kathy M. Klock
Arbitrator(s): Edward W. Morris, Howard N. Gorney, Sean Michalski
Hearing Site: Manchester, NH
|  | Expungement |
| 22-00151 | 12/02/2022 | Claimant(s): Gregory Feldman
Claimant Lawyers(s): Zachary Morse
Respondent(s): Lord Abbett Distributor LLC
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | |
| 19-01839 | 10/18/2022 | Claimant(s): Linda O'Donnell
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): TD Ameritrade., Peter Keating, United Planners' Financial Services
Respondent Lawyers(s): Erinn M. Maguire, Gerry Kowalski
Arbitrator(s): Jay B. Bachar, Catherine Esther Bocskor, Robert J. Kirkner
Hearing Site: Baltimore, MD
| | $244,344 |
| 20-00395 | 07/21/2021 | Claimant(s): Dmitry Kreslavskiy, Yevgeniya Kreslavskaya, Dmitry Kreslavskiy IRA, Yevgeniya Kreslavskaya IRA
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Robert R. Salman, Robert E. Anderson, Patrick R. Westerkamp
Hearing Site: Jersey City, NJ
| | Expungement |
| 19-02559 | 11/20/2020 | Claimant(s): John Didomenico, on behalf of his IRA
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Daniel Raupp, Concorde Investment Services
Respondent Lawyers(s): Gerry Kowalski, Tanya S. Lambrechts
Arbitrator(s): Richard J. Kaplan, Joseph Benalt, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | Dismissed |
| 19-02013 | 06/12/2020 | Claimant(s): Lucy Schneiberg, Yuri Schneiberg
Claimant Lawyers(s): William W. Uchimoto
Respondent(s): Wells Fargo Clearing Services, Scott Kaminsky
Respondent Lawyers(s): Gerry Kowalski, Henry F. Reichner
Arbitrator(s): Cornelius C. Clancy, Louis P. Wagman, Harold Yaskin
Hearing Site: Philadelphia, PA
| | $0 |
| 18-03187 | 11/21/2019 | Claimant(s): Ann Ginsberg, Gene Ginsberg, Gene H. Ginsberg & Ann R. Ginsberg Trust
Claimant Lawyers(s): David A Conti
Respondent(s): Stifel, Nicolaus & Co.., Lawrence Delhagen, Michael O'Keefe
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Mark H. Stein, Patrick R. Westerkamp, Gerard Thompson
Hearing Site: Philadelphia, PA
| | $0 |
| 09-06233 | 09/16/2011 | Claimant(s): JPTDLM, L.P.
Claimant Lawyers(s): Jeffrey J. Liotta
Respondent(s): Oppenheimer & Co.., Jonathan Greene, Kyle Wool, Oppenheimer Asset Management Inc.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Susan H. Schleisner, Gary L. Grolle, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | Expungement |
| 09-02693 | 10/20/2010 | Claimant(s): Steven Weisberg, IRA FBO Steven L. Weisberg SunAmerica Tr, Steven L. Weisberg Rev. Trust
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Royal Alliance Associates., John Schwartz, Retirement Advisory Services.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Paul W. Sterman, Michael J. Quarequio, Eugene H. Steele
Hearing Site: Boca Raton, FL
| | $80,000 |
