| 17-02953 | 06/06/2018 | Claimant(s): Michael Butterworth
Claimant Lawyers(s): Edwin L. Stock
Respondent(s): Equity Services., Hornor, Townsend & Kent., MML Investors Services
Respondent Lawyers(s): Derek C. Anderson, George D. Fagan, Julie E. Ravis
Arbitrator(s): Louis H. Miron, Edward Blumstein, Glenn J. Hansen
Hearing Site: Wilmington, DE
| | |
| 17-03259 | 06/06/2018 | Claimant(s): Darren Wright
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Jerry H. Friedland
Hearing Site: Phoenix, AZ
| | |
| 17-03064 | 04/30/2018 | Claimant(s): Audrey Sreshta
Claimant Lawyers(s): Ronald P. Wright
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
| | |
| 17-01003 | 03/30/2018 | Claimant(s): Kevin Fifield
Claimant Lawyers(s): Stuart Sinai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Barbara Kramer, Jon Kaplon
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
| | |
| 17-01307 | 12/22/2017 | Claimant(s): Kevin Fifield
Claimant Lawyers(s): Stuart Sinai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Barbara H. Kramer, Jon Kaplon
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | |
| 16-02543 | 09/11/2017 | Claimant(s): Paul Saltaformaggio
Claimant Lawyers(s): John W. Joyce
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton, Jr.
Arbitrator(s): Dale A. Kaliszeski, Ashley Lucile Belleau, Onnig Hatchig Dombalagian
Hearing Site: New Orleans, LA
| | |
| 16-00021 | 11/28/2016 | Claimant(s): Linda Anthony
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): MML Investors Services, Voya Financial Advisors.
Respondent Lawyers(s): Bryce Benson, William P. Thornton
Arbitrator(s): Dale C. Putman, Susan A. Berson, Joseph Neal Richardson
Hearing Site: Wichita, KS
|  | Expungement |
| 15-03191 | 08/09/2016 | Claimant(s): Paulette Thomas
Claimant Lawyers(s): David Neuman
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Nancy J. Cliff
Hearing Site: Miami, FL
| | Dismissed by Rule 12206 |
| 13-02545 | 03/01/2016 | Claimant(s): Antonietta D'Avanzo, Estate of Frank D'Avanzo Sr.
Claimant Lawyers(s): Gary Menzer
Respondent(s): Gil Cohen, MML Investors Services, Metlife Securities Inc.
Respondent Lawyers(s): Julie E. Ravis, Richard D'Amura
Arbitrator(s): Elena G. Rodriguez, Peter A. Portley, Leon H. Tracy
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-01564 | 02/09/2015 | Claimant(s): Michael Kealy
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Harvey Fuchs, MML Investors Services
Respondent Lawyers(s): Julie E. Ravis, Kate E. DiGeronimo
Arbitrator(s): Cheryl H. Agris, Andrew J. Gerber, Brian Lawrence Berlandi
Hearing Site: New York, NY
| | Expungement |
