| 16-03006 | 10/06/2017 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors, Investors Capital Corp.
Respondent Lawyers(s): Hector D. Geribon, Jeremy Carr
Arbitrator(s): Donald Dreyfus
Hearing Site: Albuquerque, NM
| | |
| 14-03425 | 06/17/2016 | Claimant(s): Ramona Hahn, Ramona Hahn IRA, Ramona Hahn Roth IRA, Ramona Hahn Family Trust DTD 08/04/2003
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): LPL Financial LLC, John Sherwin, Thomas Hokr, Edward Jones, Investors Capital Corp.
Respondent Lawyers(s): Bentley P. Stansbury, Jon Kaplon, Michael A. Nagy
Arbitrator(s): Guenter S. Cohn, Sally G. Williams, Vytas Tarulis
Hearing Site: San Diego, CA
|  | Expungement |
| 14-03241 | 07/14/2015 | Claimant(s): Samuel Lam
Claimant Lawyers(s): Mark Maddox
Respondent(s): Robert Gianchiglia, Ameritas Investment Corp., Investors Capital Corp.
Respondent Lawyers(s): Gara M. Seagraves, James A. McGovern
Arbitrator(s): James F. Carlson, Angela R. Murphy, Martin A. Duncan
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 14-01244 | 04/02/2015 | Claimant(s): William Peppenhorst
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
| | $57,545 |
| 12-03959 | 09/05/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Tony Roberts, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern, Tony Roberts
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
| | $0 |
| 13-01847 | 07/02/2014 | Claimant(s): Esther Huie, Richard Huie
Claimant Lawyers(s): W. Edgar Spivey
Respondent(s): Mark Harrop, Investors Capital Corp.
Respondent Lawyers(s): Thomas G. Nicholson
Arbitrator(s): Henry G. Plaster, Donita M. King, Ross E. Legum
Hearing Site: Norfolk, VA
| | $36,000 |
| 12-01330 | 07/01/2014 | Claimant(s): Audrie Perez-Llana Thomas, Benjamin Thomas, Edgar Thomas, Katrinka Powers, Phillip Thomas, Robert Boyatt, Theresa Hornsby, Bobby & Marcella Crawford, Danny & Betty Thomas, Donald & Virginia Headley, Phil & Karen Thomas, Edgar Thomas and Kathleen Thomas Trust, Gordon E. Thomas Revocable Trust, Irma M. Thomas Revocable Trust, Pauline Webb Revocable Trust
Claimant Lawyers(s): Mark David Hunter, Scott L. Silver
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Mauricio Arcadier, Ronald Charles Waters, Rose Erika Kennedy
Hearing Site: Orlando, FL
| | Expungement |
| 13-00181 | 05/30/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Nicolas Toadvine, Investors Capital Corp.
Respondent Lawyers(s): Michael A. Nagy, Nicolas Shane Toadvine
Arbitrator(s): Richard J. Fuller
Hearing Site: Tampa, FL
| | Settlement |
| 13-02416 | 05/08/2014 | Claimant(s): Lynn Royal
Claimant Lawyers(s): Lynn Royal
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Michael A. Nagy
Arbitrator(s): Peter M. Saparoff
Hearing Site: Boston, MA
| | $0 |
| 13-01930 | 12/11/2013 | Claimant(s): Carl Cooper, Donna Cooper
Claimant Lawyers(s): Donna M. Cooper
Respondent(s): Monica Narvaez, Investors Capital Corp.
Respondent Lawyers(s): Michael A. Nagy
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | $15,437 |
