| 20-00715 | 12/17/2021 | Claimant(s): Christopher Scalese
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Louis H Miron
Hearing Site: Philadelphia, PA
| | |
| 20-02733 | 05/13/2021 | Claimant(s): Thomas Reich
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | |
| 20-02917 | 05/05/2021 | Claimant(s): Kurt Jackson
Claimant Lawyers(s): Frances Menzer
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 20-02924 | 04/12/2021 | Claimant(s): Lee Rawiszer, Paul Volpe
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 20-02949 | 04/09/2021 | Claimant(s): Lee Rawiszer, Paul Volpe
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 20-03743 | 04/05/2021 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael Hill
Respondent(s): H. Beck.
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Jeffry M. Bauer, Mark L Miller, Jonathan B. Gilbert
Hearing Site: Indianapolis, IN
|  | Dismissed by Rule 12206 |
| 20-02636 | 03/23/2021 | Claimant(s): Howard Adcock
Claimant Lawyers(s): Harris Freedman
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
| | |
| 19-00968 | 08/14/2020 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Thomas Marino, R.M. Stark & Co..
Respondent Lawyers(s): Richard A. D'Amura, Thomas John Marino
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | $349,231 |
| 19-01978 | 02/04/2020 | Claimant(s): Jeffrey Buck
Claimant Lawyers(s): Erica Harris
Respondent(s): H. Beck., Parkland Securities
Respondent Lawyers(s): Randolph F. Pistor, Richard A. D'Amura
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
| | |
| 19-01596 | 01/10/2020 | Claimant(s): Laura Nasatir, Laura M. Nasatir Roth IRA, Laura M. Nasatir SEP IRA, Laura M. Nasatir 401K, Laura M. Nasatir Defined Benefit Plan, Laura M. Nasatir Trust
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | $0 |
