| 24-00252 | 04/24/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): James Czerniak
Respondent Lawyers(s): James Allen Czerniak
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 23-01998 | 11/09/2023 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Marlon Scott
Respondent Lawyers(s): Marlon Keith Scott
Arbitrator(s): Heather Gaile Layton
Hearing Site: Houston, TX
| | |
| 23-01999 | 10/18/2023 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Joseph Hobbs
Respondent Lawyers(s): Joseph Gregory Hobbs
Arbitrator(s): Andrea U. Calve
Hearing Site: Oklahoma City, OK
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| 23-01581 | 09/19/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Todd Barden
Respondent Lawyers(s): Todd J Barden
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Milwaukee, WI
| | |
| 21-02610 | 05/30/2023 | Claimant(s): Luigj Perkaj
Claimant Lawyers(s): Tom De Bow
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Martin Brosnan, Richard Edward Rassel, Mark Gregory Brackon
Hearing Site: Detroit, MI
|  | Dismissed with Rule 12206 |
| 20-02339 | 01/17/2023 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Damian Baird
Respondent Lawyers(s): Damian Mark Baird
Arbitrator(s): Alan Kenneth Scheff, Mark A. Sipper, Joseph Maron Hanna
Hearing Site: Buffalo, NY
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| 22-01323 | 09/26/2022 | Claimant(s): Lincoln Financial Advisors Corporation
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): John Nelson
Respondent Lawyers(s): John W. Nelson
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Cleveland, OH
| | |
| 21-00844 | 12/20/2021 | Claimant(s): Donald Murray, Patricia Murray
Claimant Lawyers(s): Dietrich P. Epperson
Respondent(s): Kimberly Enders, Steven Enders, Cetera Advisor Networks LLC, Summit Brokerage Services.
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | Expungement |
| 18-04155 | 11/10/2021 | Claimant(s): Jason Klein
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Olga Hejl
Respondent Lawyers(s): Salvatore W. Pirrotta
Arbitrator(s): Edward M. Olson, Raymond J. Sterling, Ethan Ray
Hearing Site: Detroit, MI
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| 20-03558 | 06/10/2021 | Claimant(s): Lincoln Financial Securities Corporation
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Jason Fekete
Respondent Lawyers(s): Jason M. Fekete
Arbitrator(s): C Gregory Ellison, Gregory Hunter Mathews, Geoffrey A. Drucker
Hearing Site: Norfolk, VA
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