10-02766 | 05/24/2011 | Claimant(s): Brent Richtsmeier Claimant Lawyers(s): Joshua A. Waldman Respondent(s): Jack Kalisz, National Securities Corporation, Joseph Stevens & Co.. Respondent Lawyers(s): Josepha Sorbara, Mark Roth Arbitrator(s): Annette Gres Shepherd, Robert E. Jenks, Karen J. Burneff Hearing Site: Los Angeles, CA
| | Expungement |
09-06224 | 11/11/2010 | Claimant(s): National Securities Corporation Claimant Lawyers(s): Mark Roth Respondent(s): Derek Lopez Respondent Lawyers(s): Derek Lopez Arbitrator(s): Michael R. Mitchell Hearing Site: Los Angeles, CA
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07-03514 | 12/14/2009 | Claimant(s): Chase Investment Services Corp. Claimant Lawyers(s): Michael J. McAllister Respondent(s): Dino Dionne-Tontchev, National Securities Corporation, National Asset Management., Worldwide Wealth Management Inc. Respondent Lawyers(s): Dino Dionne, Jamie Diaz, Mark Roth Arbitrator(s): John N. Polakas, Elaine D. Papas, Robert Bartels Hearing Site: New York, NY
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07-00401 | 06/24/2008 | Claimant(s): National Securities Corporation Claimant Lawyers(s): Mark Roth Respondent(s): Antonio Coladonato Respondent Lawyers(s): Antonio Coladonato Arbitrator(s): Larry A. Kimmel, Dorothy F. Gray, David N. Brainin Hearing Site: New York, NY
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05-06369 | 09/21/2007 | Claimant(s): Davenport Alley Partnership Claimant Lawyers(s): Steven S. Biss Respondent(s): National Securities Corporation, Steve Taton Respondent Lawyers(s): Mark Roth, William G. Shields Arbitrator(s): Anne W. Larkin, Emerson R. Marks, W. Scott Greco Hearing Site: Richmond, VA
| | $0 |