| 21-00080 | 01/31/2022 | Claimant(s): John Boucher
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): David Weisberg, Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, David Weisberg, Jamie Worden
Arbitrator(s): Steven S. Manos
Hearing Site: Boston, MA
|  | $0 |
| 21-00563 | 01/10/2022 | Claimant(s): Robert Caswell
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Bruce Boyle, Lawrence Zelin, Thomas Diamante
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Des Moines, IA
| | Expungement |
| 20-02767 | 11/10/2021 | Claimant(s): Beverly R. McCullough, Thomas W. McCullough
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): KCD Financial.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): William A. Fynes, Mary Elizabeth Skelnik, Melissa Nycole Hearon
Hearing Site: Dallas, TX
| | Expungement |
| 20-01958 | 09/15/2021 | Claimant(s): Ernest Guenin, Monique Guenin
Claimant Lawyers(s): Peter M. Good
Respondent(s): Joseph Trifiletti, Stephen Distante, Stephen Trask, Steven Howe, Thomas Murphy, Vanderbilt Securities
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Diane Ciccone, Gregory J. Spadea, Peter George Erdely
Hearing Site: Philadelphia, PA
| | $200,000 |
| 20-03207 | 07/20/2021 | Claimant(s): Scott Fitzgerald
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Royal Alliance Associates., Vanderbilt Securities
Respondent Lawyers(s): Charles M. O'Rourke, James V. Noblett
Arbitrator(s): Eugene G. P. Byrne
Hearing Site: New York, NY
| | |
| 19-01333 | 06/24/2021 | Claimant(s): Linda Cassidy, The Estate of Anna Walson
Claimant Lawyers(s): Samuel M. Braverman
Respondent(s): Alexander Aiello, Wells Fargo Advisors Financial Network, Marc Barretta
Respondent Lawyers(s): Charles M. O'Rourke, Michael Naccarato
Arbitrator(s): Fred S. Pieroni, John A. Scudiero, Paul Allan Massaro
Hearing Site: Jersey City, NJ
| | $0 |
| 19-03796 | 06/02/2020 | Claimant(s): Josephine Chien
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): SW Financial
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Ronald L. Cameron
Hearing Site: Los Angeles, CA
| | $23,175 |
| 18-03337 | 05/21/2020 | Claimant(s): Joseph Best
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Timothy Wright, Columbus Advisory Group, Ltd.
Respondent Lawyers(s): Charles M. O'Rourke, Timothy Alan Wright
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | $0 |
| 18-03809 | 08/22/2019 | Claimant(s): Ashley Pagartanis
Claimant Lawyers(s): Ashley Pagartanis
Respondent(s): Lombard Securities Incorporated
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Brenda J. Stovall, Steven Irving Platt, George Thomas Doran
Hearing Site: Baltimore, MD
| | |
| 17-03503 | 04/12/2019 | Claimant(s): Kobina Hagan
Claimant Lawyers(s): Kobina Gyesi Hagan
Respondent(s): Mark Eisenberg, Lantern Investments.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Steven T. Stern, Samuel H. Chorches, Mae A. Brudner
Hearing Site: Hartford, CT
| | |
