| 24-01631 | 11/29/2024 | Claimant(s): Rafael Friederichsen
Claimant Lawyers(s): Rafael A. Friederichsen
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): David Aaron DeSoto, John Ryan, Harry Tharp
Hearing Site: Houston, TX
| | |
| 24-00972 | 11/26/2024 | Claimant(s): Fred Huecker, Susan Huecker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Lawrence Nagel, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, John O. Lukanski
Arbitrator(s): George G. Kurschner
Hearing Site: Louisville, KY
|  | $26,156 |
| 22-00408 | 08/29/2023 | Claimant(s): Rafael Friederichsen
Claimant Lawyers(s): S. Bruce Hiran
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Katherine Parsley
Hearing Site: Houston, TX
| | |
| 22-01770 | 12/09/2022 | Claimant(s): Michael Walters
Claimant Lawyers(s): Michael Walters
Respondent(s): Ally Invest Securities LLC
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | $0 |
| 18-03981 | 05/17/2022 | Claimant(s): Anthony Dertouzos
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): David Carroll, David Kowach, Wells Fargo Advisors, Wells Fargo Clearing Services, Mary Mack
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Emad A. Zikry, James M. Rhodes, David John Reilly
Hearing Site: New York, NY
| | |
| 20-01911 | 03/10/2021 | Claimant(s): Lucas Tiettmeyer
Claimant Lawyers(s): Lucas Tiettmeyer
Respondent(s): Ally Invest Securities.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Cincinnati, OH
| | $0 |
| 10-04064 | 06/06/2012 | Claimant(s): Warren Messier
Claimant Lawyers(s): Bruce A. Assad
Respondent(s): Henry Mello, Banc of America Investment Services Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): John Joseph Cotter, Nickolas F. Monteforte, Joseph Charles Kennedy
Hearing Site: Providence, RI
| | $0 |
| 09-06861 | 02/25/2011 | Claimant(s): Deborah Dee
Claimant Lawyers(s): David J. Paliotti
Respondent(s): Banc of America Investment Services Inc., Nicholas Cafaro, Patrick Sands
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Robert H. Watts, Gerard S. Marsan, Marilyn H. Zuckerman
Hearing Site: Boston, MA
| | Expungement |
| 08-04626 | 06/02/2009 | Claimant(s): Brenda Hadjigeorgalis, IRA, Michael Hadjigeorgalis, Michael and Brenda Hadjigeorgalis
Claimant Lawyers(s): Antonios Hadjigeorgalis
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Fred M. Ridolphi
Hearing Site: Nashville, TN
| | $5,342 |
| 08-01679 | 03/24/2009 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): John O. Lukanski
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph E. Gehring
Arbitrator(s): Michael E. Curan, Donald Ferguson, Joshua Mark Zucker
Hearing Site: New York, NY
| | |
