| 22-00169 | 10/24/2022 | Claimant(s): David Gray
Claimant Lawyers(s): Courtney Werning
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Richard R. Logsdon, Meeta Alberta Bass, Karen Santiago
Hearing Site: Jacksonville, FL
|  | Dismissed by Rule 12206 |
| 19-02750 | 04/20/2022 | Claimant(s): GMS Mine Repair and Maintenance.
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Next Financial Group.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Linda Arlene Michler, Rosemary Christina Crawford, Michael J. Betts
Hearing Site: Pittsburgh, PA
| | $0 |
| 19-03788 | 03/31/2022 | Claimant(s): De Mille RT DTD 1/26/93, De Mille TTEE
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Guy Harrigan, James Teegarden, Lion Street Financial, Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern, Kathy M. Klock
Arbitrator(s): Nicole T. LeBoeuf, Phyllis Sandra Hill, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 19-00822 | 07/12/2021 | Claimant(s): James Collins
Claimant Lawyers(s): Adam M. Green
Respondent(s): Stephen DeCesare, Triad Advisors LLC
Respondent Lawyers(s): Brian A. Carlis, James A. McGovern
Arbitrator(s): Julie K. Chapin, Mary S. Wyatte, Anne O'Connell Umbrecht
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-01415 | 04/20/2021 | Claimant(s): Russell Shurts
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Triad Advisors LLC, Joseph Michaletz
Respondent Lawyers(s): James A. McGovern, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Marilyn R. Lewis, Eric Moutz
Hearing Site: Denver, CO
| | Expungement |
| 19-02899 | 03/26/2020 | Claimant(s): Louis Stough, Martin Guerra
Claimant Lawyers(s): James A. McGovern
Respondent(s): Reliance Worldwide Investments
Respondent Lawyers(s): Barry F. MacEntee
Arbitrator(s): Peter Ordower, Stuart D. Summers, Scott Hartnett Godish
Hearing Site: Chicago, IL
| | |
| 16-01266 | 05/16/2017 | Claimant(s): Janice Leckey
Claimant Lawyers(s): Mark Shepard
Respondent(s): Fragasso Financial Advisors
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Barry Goldman
Hearing Site: Pittsburgh, PA
| | $0 |
| 14-02396 | 02/18/2016 | Claimant(s): Jonathan Freeze
Claimant Lawyers(s): Alan H. Perer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): James J. Puhala, John P. Abriola, Mark Alexander Sipper
Hearing Site: Pittsburgh, PA
| | |
| 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 |
