| 21-01403 | 12/28/2021 | Claimant(s): Nicholas Yrizarry
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Securities Service Network.
Respondent Lawyers(s): Records Custodian
Arbitrator(s): Erik R. Siering, Barton J. Brewer, Lawrence Craig Williams
Hearing Site: Los Angeles, CA
| | |
| 17-01946 | 03/26/2018 | Claimant(s): Michael Williams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services., Securities Service Network.
Respondent Lawyers(s): Robert M. Rudnicki, Ronald T. Klimas
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | |
| 16-03494 | 11/21/2017 | Claimant(s): Securities Service Network.
Claimant Lawyers(s): Ronald T. Klimas
Respondent(s): Steven Conners
Respondent Lawyers(s): Steven Craig Conners
Arbitrator(s): Richard Marc Weinroth
Hearing Site: Phoenix, AZ
| | |
| 13-03210 | 03/04/2015 | Claimant(s): Householder Group Financial Advisors, LL
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Debra Householder, Scott Householder, HG Marketing Services., Householding., Securities Service Network., TGH.
Respondent Lawyers(s): Christopher G. Lazarini, Robert D. Mitchell
Arbitrator(s): James E. Stark, Seymour A. Kolman, Ronald Edward Hibbing
Hearing Site: Phoenix, AZ
| | |
| 13-01693 | 09/17/2014 | Claimant(s): Steven Halliwell
Claimant Lawyers(s): Steven E. Halliwell
Respondent(s): Linda Miller, Nationwide Investment Services Corporati, Securities Service Network., Walnut Street Securities.
Respondent Lawyers(s): Abigail D. Elrod, Joanna M.F. Wilcomes, Ronald T. Klimas, Victoria A. Flinn
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 13-02273 | 07/17/2014 | Claimant(s): Thomas Hake
Claimant Lawyers(s): Joan M Swartz
Respondent(s): Ethan Rush, Ronald Klimas, Securities Service Network.
Respondent Lawyers(s): J. Christopher Wehrle, Ronald T. Klimas, Ronald T. Klimas Chief Compliance
Arbitrator(s): Albert J. Haller
Hearing Site: St. Louis, MO
| | |
| 11-04569 | 07/09/2013 | Claimant(s): Allen Silk, Mary Silk, Allen B. Silk, IRA, SEP, Mary E. Silk SEP, Mary E. Silk
Claimant Lawyers(s): Frank "Kim" Breese
Respondent(s): Gary Spooner, Securities Service Network.
Respondent Lawyers(s): Gary Lee Spooner, Ryan R. Baker
Arbitrator(s): Earle J. Schwarz, Kenneth W. Shelley, Leigh Ann Roberts
Hearing Site: Jackson, MS
| | $308,656 |
| 10-05530 | 04/17/2012 | Claimant(s): Patricia Sturgis, Revocable Grantor Trust of June M. Davis
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Securities Service Network.
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Paul M. Foster, Julius Z. Frager, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | Expungement |
| 07-02602 | 08/15/2008 | Claimant(s): A. Ray
Claimant Lawyers(s): Walter W. Bussart
Respondent(s): James Bratcher, Securities Service Network.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): D. Bruce Shine, Coleman Robert Perry, Richard K. Smith
Hearing Site: Nashville, TN
| | Dismissed by Rule 12206 |
