| 21-01986 | 05/02/2022 | Claimant(s): Cynthia Giovacchino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Linda J. Baer
Hearing Site: Hartford, CT
| | |
| 21-02811 | 04/29/2022 | Claimant(s): Eric Hogarth
Claimant Lawyers(s): Steven Feldman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): Doug Baxley
Arbitrator(s): Robert E. Anderson
Hearing Site: Hartford, CT
| | |
| 20-01571 | 02/23/2022 | Claimant(s): Craig Breitsprecher, Breitsprecher and Associates LLC
Claimant Lawyers(s): Jonathan M. Shapiro
Respondent(s): Andrew Komarow, Komarow Financial Planning
Respondent Lawyers(s): Louis D. Tambaro
Arbitrator(s): Samuel H. Chorches, Cynthia Catherine Anger, Akwasi Agyeman
Hearing Site: Hartford, CT
| | |
| 20-01281 | 02/17/2022 | Claimant(s): William Fauzio
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Capital Financial Services., Questar Capital Corporation
Respondent Lawyers(s): Gordon Dihle, Katherine C. Donlon
Arbitrator(s): Mark Stuart Gurevitz
Hearing Site: Hartford, CT
| | |
| 20-01857 | 02/03/2022 | Claimant(s): Paul Coleman
Claimant Lawyers(s): Marie Mirch
Respondent(s): Chase Investment Services Corp., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein, Michael a. Gross
Arbitrator(s): Robert M. Singer
Hearing Site: Hartford, CT
| | |
| 21-01206 | 01/06/2022 | Claimant(s): Jose Batista
Claimant Lawyers(s): August M. Iorio
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): John James McGovern
Hearing Site: Hartford, CT
|  | $29,611 |
| 20-03811 | 12/22/2021 | Claimant(s): Matthew Soja, Sharon Soja
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Eric Hogarth, Joel Johnson, Silver Oak Securities.
Respondent Lawyers(s): Chris G. Lazarini, Theodore Snyder
Arbitrator(s): Steven R. Rolnick, William D. Stempel, Paul Smith Besson
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
| 20-02542 | 12/13/2021 | Claimant(s): Joshua Shapiro
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Annuities Distributors
Respondent Lawyers(s): Ephraim J. Pierre
Arbitrator(s):
Hearing Site: Hartford, CT
| | |
| 21-01743 | 12/09/2021 | Claimant(s): Joseph Lovallo
Claimant Lawyers(s): Joseph S. Lovallo
Respondent(s): John Pronovost
Respondent Lawyers(s): John Stephen Pronovost
Arbitrator(s): Mary Elizabeth Satran
Hearing Site: Hartford, CT
| | $0 |
| 21-01465 | 11/22/2021 | Claimant(s): Benjamin Fuchs
Claimant Lawyers(s): David I. Hantman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): William E. Hopkins
Arbitrator(s): Linda J. Baer
Hearing Site: Hartford, CT
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