| 22-01662 | 12/13/2023 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Bernard J. Kornberg
Respondent(s): Brian Dunn
Respondent Lawyers(s): Joshua Norton
Arbitrator(s): Edward Turner Borer, Louis H Miron, Peter H. Goldberg
Hearing Site: Wilmington, DE
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| 22-02759 | 09/19/2023 | Claimant(s): Brad Martin
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): MML Investors Services
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Louis H Miron
Hearing Site: Montpelier, VT
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| 19-03510 | 08/28/2023 | Claimant(s): Thatcher J. Fields Gift Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Louis H Miron, Julius Z. Frager, Bruce Arthur Blessington
Hearing Site: Montpelier, VT
|  | Expungement |
| 22-01621 | 01/31/2023 | Claimant(s): JBJ Financial LLC DBA MassMutual TriStat
Claimant Lawyers(s): Brian Singleton
Respondent(s): John Goodwin
Respondent Lawyers(s): John Knox Goodwin
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
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| 21-01101 | 08/31/2022 | Claimant(s): Harvey Segal
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, Jamie Worden
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
| | $22,000 |
| 20-00715 | 12/17/2021 | Claimant(s): Christopher Scalese
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Louis H Miron
Hearing Site: Philadelphia, PA
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| 21-00899 | 10/12/2021 | Claimant(s): Mark Scordato
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry Yager
Arbitrator(s): Louis H Miron, Linda T. Pellegrino, Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 20-02700 | 06/14/2021 | Claimant(s): Wayne Wagner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Louis H Miron
Hearing Site: Wilmington, DE
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| 20-02200 | 06/04/2021 | Claimant(s): Christopher DiGregorio
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
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| 20-03395 | 04/30/2021 | Claimant(s): Jude DiGidio, Kevin Blondina
Claimant Lawyers(s): Thomas Perry
Respondent(s): Cadaret, Grant & Co..
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
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