| 20-03121 | 06/10/2021 | Claimant(s): Marianne Smith
Claimant Lawyers(s): Brian Luther
Respondent(s): Edward Jones, Investors Capital Corp.
Respondent Lawyers(s): Bernard Breton, Jonathan Hackbarth
Arbitrator(s): Steven R. Rolnick
Hearing Site: Hartford, CT
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| 20-02525 | 03/12/2021 | Claimant(s): Melisa Lloyd
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
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| 20-02330 | 03/04/2021 | Claimant(s): Richard Cella
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Arthur J. Giacomarra, Sharon L. Monroe, Howard N. Gorney
Hearing Site: Boston, MA
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| 19-03546 | 10/21/2020 | Claimant(s): John Slipek
Claimant Lawyers(s): Scott Holcomb
Respondent(s): NewBridge Securities Corp., Investors Capital Corp., J.P. Turner & Company
Respondent Lawyers(s): David Feldstein, Gregg Breitbart
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
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| 20-00903 | 10/19/2020 | Claimant(s): William Sheehan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 20-00081 | 09/14/2020 | Claimant(s): William Gordon
Claimant Lawyers(s): John Stewart
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
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| 16-00746 | 06/05/2020 | Claimant(s): Robert Schmiedeke, Robert E Schmiedeke Separate Property Tr
Claimant Lawyers(s): Kenneth J Catanzarite
Respondent(s): Jim Lund, Investors Capital Corp., National Planning Corporation
Respondent Lawyers(s): Derek C, Anderson, Elizabeth Lowery
Arbitrator(s): Benjamin F. Breslauer, Virginia Alice Suveiu, Betty Jean Jackson
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12206/12504 |
| 18-03170 | 05/21/2020 | Claimant(s): Arlene Dixon, Sherman Salovitz
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Marcus Berger, Investors Capital Corp.
Respondent Lawyers(s): Benjamin J. Biard, Neil S. Baritz
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $0 |
| 18-01162 | 11/29/2018 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Albuquerque, NM
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| 18-00557 | 10/22/2018 | Claimant(s): Charles Byrnes
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Joseph Charles Kennedy
Hearing Site: Boston, MA
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