| 20-03899 | 12/30/2022 | Claimant(s): Cranston Fire & Police Dept Pension Plan
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Mary C. Kelleher, John James McGovern, Patrick R. Westerkamp
Hearing Site: Providence, RI
|  | Expungement |
| 21-03093 | 06/23/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E. Dennis
Respondent(s): Leo Vassallo
Respondent Lawyers(s): Joshua A. Katz
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Syracuse, NY
| | |
| 20-00395 | 07/21/2021 | Claimant(s): Dmitry Kreslavskiy, Yevgeniya Kreslavskaya, Dmitry Kreslavskiy IRA, Yevgeniya Kreslavskaya IRA
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Robert R. Salman, Robert E. Anderson, Patrick R. Westerkamp
Hearing Site: Jersey City, NJ
| | Expungement |
| 20-01368 | 03/12/2021 | Claimant(s): Erin Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Providence, RI
| | |
| 20-01793 | 12/23/2020 | Claimant(s): Todd Roselle
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Securian Financial Services.
Respondent Lawyers(s): Richard H. Kuhlman, Richard J. Babnick
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE
| | |
| 20-01537 | 12/09/2020 | Claimant(s): Emil Baczyk
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): PNC Investments
Respondent Lawyers(s): Robert S. Whitman
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Jersey City, NJ
| | |
| 19-02718 | 09/14/2020 | Claimant(s): Ahmiel Baum
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mel Gworek
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Pittsburgh, PA
| | |
| 19-02021 | 06/18/2020 | Claimant(s): Kevin Fox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Gordon Dihle
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE
| | |
| 18-03769 | 12/06/2019 | Claimant(s): Paul Houle
Claimant Lawyers(s): Lars Soreide
Respondent(s): IBN Financial Services.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206/12504 |
| 19-00878 | 11/25/2019 | Claimant(s): Danny Bullock
Claimant Lawyers(s): John M. Verdecchia
Respondent(s): Signator Investors.
Respondent Lawyers(s): Gregory M. Curely
Arbitrator(s): Paul A. Auerbach, Patrick R. Westerkamp, Michael Jonathan Chazan
Hearing Site: Providence, RI
| | |
