12-00220 | 01/08/2016 | Claimant(s): Eugene Romaska, Pearl Romaska, The SEP IRA FBO Eugene J. Romaska, Eugene J. Romaska, Controlling Joint Ten Claimant Lawyers(s): W. Alexander Melbardis Respondent(s): Hemant Singh, Financial Network Investment Corporation Respondent Lawyers(s): Matthew Tracy, Philip L. Guarino Arbitrator(s): Peter A. Goldman, Oliver Wayne Williams, Ernesto V. Luzzatto Hearing Site: New York, NY
| | Expungement |
12-00602 | 08/29/2013 | Claimant(s): Steven Gitt, Alana M. Gitt UTMA AZ, Jacob M. Gitt UTMA AZ, F/B/O Profit Sharing Trust Claimant Lawyers(s): Mark D. Chester Respondent(s): David Jaffa, Kevin Elbinger, Financial Network Investment Corporation Respondent Lawyers(s): Ed Barkel Arbitrator(s): Jerry H. Friedland, Michael F. Patterson, Gordon A. Price Hearing Site: Phoenix, AZ
| | Expungement |
10-05097 | 05/01/2013 | Claimant(s): Peter Prescott Claimant Lawyers(s): David Harrison Respondent(s): Financial Network Investment Corporation, The Leader Board Respondent Lawyers(s): Robert L. Hill Arbitrator(s): Alan Stamm, James A. Sigler, Walter R. Whitman Hearing Site: Los Angeles, CA
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11-01987 | 12/20/2012 | Claimant(s): Richard and Maria Wood Claimant Lawyers(s): Joshua A. Katz Respondent(s): UBS Financial Services Inc., Financial Network Investment Corporation, UBS Financial Svcs. of Puerto Rico Respondent Lawyers(s): Nanette Berrios Haddock, Robert C. Quinones, Sonia Torres-Pabon Arbitrator(s): Steven R. Reininger, Jerrold Levine, Thomas R. Noonan Hearing Site: San Juan, PR
| | Expungement |
10-03072 | 02/14/2011 | Claimant(s): Financial Network Investment Corporation Claimant Lawyers(s): Elizabeth Schmid Respondent(s): Thomas Pfeiffer Respondent Lawyers(s): Thomas S. Pfeiffer Arbitrator(s): Sanford S. Stevens Hearing Site: New York, NY
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08-04707 | 11/22/2010 | Claimant(s): Kayvan Karoon, Karoon Capital Markets. (dba) Claimant Lawyers(s): Philip L. Guarino Respondent(s): Albert Johnson, Jack Handy, John Simmers, Financial Network Investment Corporation, ING Advisors Network Respondent Lawyers(s): David S. Goldstein, Donald H. Chase, Evan Lupion Arbitrator(s): Philip W. Burge, Tina L. Mitchell, David Nielsen Hearing Site: Los Angeles, CA
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08-03522 | 04/14/2009 | Claimant(s): Financial Network Investment Corporation, Homeland Credit Union Claimant Lawyers(s): John P. Thomas Respondent(s): Mark Justice, Justice Financial Services., Mark Justice Financial. Respondent Lawyers(s): James K. Cutright Arbitrator(s): W. Sean Kelleher, Jo Ann Numbers, Stanley Kenneth Evans Hearing Site: Columbus, OH
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08-00418 | 09/10/2008 | Claimant(s): David Hargreaves Claimant Lawyers(s): Richard B. Fosher Respondent(s): CUSO Financial Services, L.P., Financial Network Investment Corporation Respondent Lawyers(s): Jonathan A. Boynton, Stephen E. Csajaghy Arbitrator(s): Richard M. Reider, Arthur E. Otten, Peter G. Bowen Hearing Site: Denver, CO
| | $0 |
07-00534 | 06/23/2008 | Claimant(s): Thomas Mccarthy Claimant Lawyers(s): Cindy D Salvo Respondent(s): Financial Network Investment Corporation, Karoon Capital Markets. Respondent Lawyers(s): Paul A. Lieberman, Thomas Vays Arbitrator(s): Jeffrey Steinberg, Linda T. Pellegrino, Douglas John Baumann Hearing Site: Newark, NJ
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