| 23-01030 | 03/28/2024 | Claimant(s): Dorothy Harnish, Glenn Harnish
Claimant Lawyers(s): Michael S. Hill
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
|  | $225 |
| 23-02221 | 01/26/2024 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Farid Farhoumand
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Crystal Lynne Johnson
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504 |
| 21-00090 | 06/29/2023 | Claimant(s): Ralph Gatto Roth IRA, Ralph and Vicki Gatto Living Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kristine R. Thomson
Arbitrator(s): Minnie Loo, Daniel M. Yamshon, Lawrence R. Mills
Hearing Site: San Francisco, CA
| | Expungement |
| 21-02621 | 05/03/2023 | Claimant(s): Richard Westfall
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Lynne M. Gomez
Hearing Site: Oklahoma City, OK
| | Expungement |
| 20-03946 | 02/22/2023 | Claimant(s): Juan Seoane
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Julian F. Santos, Veronica Ann Williams, Jennifer Lupo
Hearing Site: New York, NY
| | |
| 21-01249 | 08/17/2022 | Claimant(s): Rex Nassour IRA
Claimant Lawyers(s): Michael S. Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Reno, NV
| | Expungement |
| 20-03532 | 06/15/2022 | Claimant(s): Jeffrey Kane, Marsha Kane, Jeffrey Kane IRA, Jeffrey Kane Roth IRA, Marsha Kane IRA, Marsha Kane Roth IRA, Kane Family Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-00028 | 05/11/2022 | Claimant(s): Ian Delahunty
Claimant Lawyers(s): Michael S. Hill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Karen Roberts Washington, Will Pryor, Subvet West
Hearing Site: Dallas, TX
| | $365,425 |
| 20-03742 | 03/29/2022 | Claimant(s): Melanie Meadows
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): G. Maynard Green, Gwendolyn Canady, Demeita M Johnson
Hearing Site: Houston, TX
| | $0 |
| 20-03293 | 03/24/2022 | Claimant(s): Jeffrey Trosen, Susan Trosen
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): John J. Fitzpatrick, Jonathan H. Krotinger, Lynn Hirschfeld Brahin
Hearing Site: Bismarck, ND
| | $70,000 |
