| 22-01650 | 02/09/2023 | Claimant(s): Russell Mcalonie
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Julie E. Ravis, Sara B. Davis
Arbitrator(s): Gregory G. Gocek
Hearing Site: Cleveland, OH
| | |
| 21-00204 | 12/22/2022 | Claimant(s): Carol Boogher, Joel Boogher
Claimant Lawyers(s): Joseph C. Korsak
Respondent(s): Michael Nigro, MML Investors Services
Respondent Lawyers(s): Barry Temkin, Julie E. Ravis
Arbitrator(s): Richard W. Dissen, Michael D. McDowell, Mary Kathleen Mackey
Hearing Site: Pittsburgh, PA
|  | Expungement |
| 22-00796 | 12/13/2022 | Claimant(s): Daniel Muskat
Claimant Lawyers(s): Stephan Louviere
Respondent(s): NYLife Securities LLC, MML Investors Services
Respondent Lawyers(s): Christopher J. Murdoch, Julie E. Ravis
Arbitrator(s): Edward W. Morris
Hearing Site: Manchester, NH
| | |
| 22-00144 | 10/14/2022 | Claimant(s): Elaine Roumillat, Holly Carroccio
Claimant Lawyers(s): Craig M. Warner
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Andrea U. Calve, Jeffrey Richard Chiappetta, Scott F Stains
Hearing Site: Dallas, TX
| | |
| 21-02537 | 06/30/2022 | Claimant(s): Michael Muccio
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
| | |
| 21-02446 | 06/07/2022 | Claimant(s): Scott Keck
Claimant Lawyers(s): Aaron C. Hemmings
Respondent(s): MML Investors Services, MSI Financial Services., Metropolitan Life Insurance Company
Respondent Lawyers(s): Peter R. Pound
Arbitrator(s): Roger C. Benson, Charles Diederich Heidgerd, Karen A. West
Hearing Site: Raleigh, NC
| | Dismissed by Rule 12206 |
| 21-02558 | 05/11/2022 | Claimant(s): Brian Parker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MML Investors Services, National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Julie E. Ravis
Arbitrator(s): Jeff Kilgore
Hearing Site: New Orleans, LA
| | |
| 20-04000 | 03/28/2022 | Claimant(s): Kevin Stokesbary
Claimant Lawyers(s): Shannon McDougald
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): William J. Bender, Steven Phillip Caplow, Jane Ann McKenzie
Hearing Site: Seattle, WA
| | |
| 20-02005 | 03/25/2022 | Claimant(s): Ronald Hennig
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Judah Piano, Scott Martin, MML Investors Services
Respondent Lawyers(s): Alexandra Hutchinson, Julie E. Ravis
Arbitrator(s): Katherine Hendricks, John Howard Resing, Stephen William Simpson
Hearing Site: Seattle, WA
| | Expungement |
| 20-00671 | 03/15/2022 | Claimant(s): Carl Glowacki
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Laura A. Kaster
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12504 |
