| 22-00100 | 07/22/2022 | Claimant(s): Frederick Dawson
Claimant Lawyers(s): Brian Luther
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura R. Rivera
Arbitrator(s): William Stephen Mailander
Hearing Site: Wilmington, DE
| | |
| 21-00011 | 07/06/2022 | Claimant(s): Mark Levy
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano
Arbitrator(s): Edward W. Morris, Melanie Barr-Brooks, Robert J. Kirkner
Hearing Site: Wilmington, DE
|  | $0 |
| 19-00941 | 05/09/2022 | Claimant(s): Elizabeth Berlin, Stephen Berlin
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Robert E. Anderson, Edward W. Morris, William Stephen Mailander
Hearing Site: Wilmington, DE
| | Expungement |
| 21-02449 | 05/04/2022 | Claimant(s): G. Keever
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle B. Mayfield
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 20-03407 | 02/02/2022 | Claimant(s): Joseph McCormick IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): USA Financial Securities Corporation
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Julian F. Santos, Linda J. Baer, Clifford Jacob Pritchard
Hearing Site: Wilmington, DE
| | Expungement |
| 20-02384 | 11/16/2021 | Claimant(s): David Holtz
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 21-00484 | 10/27/2021 | Claimant(s): Eddie Ghabour
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 21-00546 | 10/15/2021 | Claimant(s): Kristina Connell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Grove Point Investments
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Linda J. Baer
Hearing Site: Wilmington, DE
| | |
| 20-04108 | 08/13/2021 | Claimant(s): Samuel Monchik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Wilmington, DE
| | |
| 20-04107 | 08/11/2021 | Claimant(s): Richard Braverman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
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