| 22-00838 | 09/20/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E. Dennis
Respondent(s): Ross Fabregas
Respondent Lawyers(s): Ross Ramon Fabregas
Arbitrator(s): Robert Titus
Hearing Site: Albany, NY
| | |
| 22-00089 | 07/18/2022 | Claimant(s): Heath Grossman
Claimant Lawyers(s): Steven Feldman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): Doug Baxley
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | |
| 20-02720 | 07/08/2021 | Claimant(s): Joseph Marino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | |
| 20-03541 | 02/24/2021 | Claimant(s): Peter Nalewajk
Claimant Lawyers(s): Peter Nalewajk
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert Titus
Hearing Site: Providence, RI
|  | $2,228 |
| 19-03579 | 02/09/2021 | Claimant(s): Kevin Fretz
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | |
| 20-02595 | 01/26/2021 | Claimant(s): Jeffery Still
Claimant Lawyers(s): Brian J. Palmeri
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | |
| 19-01052 | 10/22/2019 | Claimant(s): Joshua Kampf, Thomas Hutchison
Claimant Lawyers(s): Joel Wertman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert Titus, Richard Hallett Nichol, Michael P. Breton
Hearing Site: Hartford, CT
| | |
| 18-02200 | 01/30/2019 | Claimant(s): Mark Branningan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | |
| 18-00496 | 01/08/2019 | Claimant(s): Stacie Weiner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., RBC Capital Markets LLC
Respondent Lawyers(s): Demian J. Betz, Frank J. Cuccio
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | |
| 17-01868 | 09/13/2018 | Claimant(s): Ginger Chapin, Lionel Dupont, Steven Dupont, Eva M. Duponte Revocable Trust, Lionel V. Duponte Revocable Trust
Claimant Lawyers(s): Ginger Dupont
Respondent(s): Pruco Securities., MML Investors Services
Respondent Lawyers(s): Andrew S. Azarmi, Julie E. Ravis
Arbitrator(s): Robert Titus, Catherine Stewart, Michael P. Breton
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
