| 18-04132 | 11/04/2019 | Claimant(s): Mark Law
Claimant Lawyers(s): Jack J. Mazzara
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brian P. Harlan
Arbitrator(s): Stephen D Kursman
Hearing Site: Detroit, MI
| | |
| 19-00143 | 05/28/2019 | Claimant(s): Kenneth Volk
Claimant Lawyers(s): Mark Kowalsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin B. Sinclair
Arbitrator(s): Stephen D Kursman
Hearing Site: Detroit, MI
|  | $15,300 |
| 18-01523 | 01/24/2019 | Claimant(s): Jeffrey Fratarcangeli
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janelle E. Fulton
Arbitrator(s): Stephen D Kursman, Patrick A. Guentner, Richard Edward Rassel
Hearing Site: Detroit, MI
| | |
| 17-03272 | 12/19/2018 | Claimant(s): Martha Jocis
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): Capital City Securities
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Raymond J. Sterling, Stephen D Kursman, Cyrus K. Motlagh
Hearing Site: Detroit, MI
| | Dismissed by Rule 12206 |
| 18-00303 | 11/12/2018 | Claimant(s): Kevin Fifield
Claimant Lawyers(s): Stuart Sinai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Barbara H. Kramer, Jon D. Kaplon
Arbitrator(s): Stephen D Kursman
Hearing Site: Detroit, MI
| | |
| 16-03617 | 12/19/2017 | Claimant(s): John Hollenbeck, Lucille Hollenbeck
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): RBC Capital Markets LLC, Martin Olson
Respondent Lawyers(s): Eric D. Brandonbrener
Arbitrator(s): Stephen D Kursman, Jonathan Edward Maire, Arthur James Rubiner
Hearing Site: Detroit, MI
| | $250,000 |
| 16-01794 | 10/11/2017 | Claimant(s): Thomas Donohue
Claimant Lawyers(s): Thomas Donohue
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Stephen D Kursman
Hearing Site: Milwaukee, WI
| | Expungement |
| 16-00485 | 10/06/2017 | Claimant(s): Edward Villella, Mary Villella
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Martorana
Arbitrator(s): Stephen D Kursman, Michael S. Berman, Joseph Weinkle
Hearing Site: Pittsburgh, PA
| | Expungement |
| 17-00792 | 09/19/2017 | Claimant(s): Janet Ritz
Claimant Lawyers(s): Michael J Betts
Respondent(s): Charles Correal, Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Stephen D Kursman
Hearing Site: Pittsburgh, PA
| | $7,800 |
| 15-03138 | 02/16/2017 | Claimant(s): James F. Kerg Revocable Living Trust
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Wells Fargo Advisors Financial Network, Eric Haubert
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Emily J. Lewis, Stephen D Kursman, W Charles Curley
Hearing Site: Columbus, OH
| | Expungement |
