| 22-01843 | 03/01/2023 | Claimant(s): Todd Slingerland
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard, Rochelle Mayfield
Arbitrator(s): Steven R. Rolnick
Hearing Site: Albany, NY
| | |
| 22-00165 | 01/25/2023 | Claimant(s): Jeffrey Davis
Claimant Lawyers(s): Avionam Rosenfeld
Respondent(s): Kovack Securities Inc, Harvest Capital LLC
Respondent Lawyers(s): Amy Towle, Ralph Giansanti
Arbitrator(s): Dale S. Cronnell, Steven R. Rolnick, Andrea Joan Harman
Hearing Site: Hartford, CT
| | |
| 18-04156 | 01/11/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Joshua Horn
Respondent(s): Stephen Pendergast
Respondent Lawyers(s): David R. Clouston
Arbitrator(s): Steven R. Rolnick, Catherine Stewart, Cynthia Catherine Anger
Hearing Site: Hartford, CT
| | |
| 22-00135 | 09/09/2022 | Claimant(s): Charles Crilly
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Samuel H. Chorches, Steven R. Rolnick, John B. Dew
Hearing Site: Hartford, CT
| | |
| 20-03811 | 12/22/2021 | Claimant(s): Matthew Soja, Sharon Soja
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Eric Hogarth, Joel Johnson, Silver Oak Securities.
Respondent Lawyers(s): Chris G. Lazarini, Theodore Snyder
Arbitrator(s): Steven R. Rolnick, William D. Stempel, Paul Smith Besson
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206 |
| 20-03121 | 06/10/2021 | Claimant(s): Marianne Smith
Claimant Lawyers(s): Brian Luther
Respondent(s): Edward Jones, Investors Capital Corp.
Respondent Lawyers(s): Bernard Breton, Jonathan Hackbarth
Arbitrator(s): Steven R. Rolnick
Hearing Site: Hartford, CT
| | |
| 20-01158 | 10/29/2020 | Claimant(s): Micahel Chadwick
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Portsmouth Financial Services
Respondent Lawyers(s): Randy Fox, Richard Kuhlman
Arbitrator(s): Steven R. Rolnick
Hearing Site: Hartford, CT
| | |
| 17-00820 | 06/25/2019 | Claimant(s): Joseph Scaniffe
Claimant Lawyers(s): David J. Freniere
Respondent(s): Anastasios Belesis, John Belesis, Marc Greenberg, Brookville Capital Partners, John Thomas Financial, Sterne, Agee & Leach.
Respondent Lawyers(s): Anthony Varbero, Gabriel Iezzoni, George D. Sullivan, Marc Greenberg, Maria Cummings, Seth Huberman
Arbitrator(s): Steven R. Rolnick, Philip S. Wellman, Mark Stuart Gurevitz
Hearing Site: Hartford, CT
| | $200,000 |
| 18-02677 | 03/18/2019 | Claimant(s): Lyle Pennell
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Steven R. Rolnick
Hearing Site: Hartford, CT
| | |
| 16-03696 | 08/17/2018 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): James L. Komie
Respondent(s): Michael Miller
Respondent Lawyers(s): Michael Emil Miller
Arbitrator(s): Steven R. Rolnick, April C. Teveris, Jeremy Gray Zimmermann
Hearing Site: Hartford, CT
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