| 22-01848 | 04/25/2024 | Claimant(s): X
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Edward A. Trabin, Isaac K. Tasinga, Gecole L. Harley
Hearing Site: Los Angeles, CA
|  | $0 |
| 20-02694 | 04/26/2021 | Claimant(s): Nicholas Losinno
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): LPL Financial LLC, Thomas Fross
Respondent Lawyers(s): Tracey Salomon-Smith
Arbitrator(s): Jim Geiger, Barry Goldman, James T. Carney
Hearing Site: Pittsburgh, PA
| | $0 |
| 18-00949 | 09/19/2018 | Claimant(s): Anne Gagnon, David Rosenberg
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 17-00306 | 08/15/2017 | Claimant(s): David Rosenberg
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | |
| 17-00146 | 06/30/2017 | Claimant(s): David Rosenberg
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | |
| 13-02748 | 04/17/2014 | Claimant(s): Kenneth Smith
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | |
| 13-00306 | 09/10/2013 | Claimant(s): Bridget Kelly, Thomas Kelly
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Noah Myers, MiddleCove Capital LLC
Respondent Lawyers(s): Noah Lauren Myers, Robbin Meyers
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $98,264 |
| 10-05036 | 10/21/2011 | Claimant(s): Douglas Leach
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Gary Purcell, Marco Alfonsi, Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Charles M. O'Rourke, Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie
Arbitrator(s): G. Maynard Green, Robert J. Gregory, Russell H Hairston
Hearing Site: Dallas, TX
| | $0 |
| 09-01494 | 06/29/2010 | Claimant(s): Kenneth Iwanicki, Penelope Iwanicki
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie, President
Arbitrator(s): Robert W. Edler, Theodore M. Utchen, Craig D. Cook
Hearing Site: Chicago, IL
| | $0 |
