| 23-02749 | 09/17/2024 | Claimant(s): James Simmons
Claimant Lawyers(s): Harris Freedman
Respondent(s): FSC Securities Corporation, Brookstreet Securities Corporation, National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Jennifer R. Cox, Julie Mains
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 20-00892 | 12/14/2022 | Claimant(s): Travis Allen
Claimant Lawyers(s): Sarah Ali Burroughs
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 20-02449 | 09/03/2021 | Claimant(s): Gary Mattson
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Brookstreet Securities Corporation, Allstate Financial Services
Respondent Lawyers(s): Jennifer Novoselsky, Julie Mains
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | |
| 12-02925 | 11/13/2015 | Claimant(s): Lettita Bollon, Richard Bollon, NFS/FMTC Rollover IRA-FBO Richard J. Bol, Richard J. Bollon DDS PC, Richard J. Bollon TTEE, Richard J. Bollon PSP
Claimant Lawyers(s): James G. Marsh
Respondent(s): Stanley Brooks, Brookstreet Securities Corporation, Troy Gagliardi
Respondent Lawyers(s): Sam Silverstein, Troy L. Gagliardi
Arbitrator(s): Richard W. Cutler, Anita Sippy, Gladys Mond
Hearing Site: New York, NY
|  | $0 |
| 13-03756 | 05/20/2014 | Claimant(s): Kyle Christensen
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): Stanley C. Brooks
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 10-01598 | 12/26/2013 | Claimant(s): Stanley Brooks, Brookstreet Securities Corporation, Brooks Family Trust
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Jason S. Pinney
Arbitrator(s): Robert Bruce MacDonald, Karen L. Gold, David L. Maislen
Hearing Site: Los Angeles, CA
| | |
| 09-00268 | 02/03/2011 | Claimant(s): Avis Nakama, Barbara Porter, Kazuko Tietz, Laureen Branch, Marjorie Parker, Melvin Aoki, Piikoi Kawananakoa, Blur Industries., Branch Holdings., Just Black, Lum Borthers, Avis Y. Nakama Trust, Barbara Porter Revocable Trust, Melvin R. Aoki Revocable Living Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Clifford Popper, Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Travis Branch, William Betta
Respondent Lawyers(s): Brian J. Ellis, Clifford Alan Popper, H Thomas Fehn, Kevin G. Fitzgerald, Michael R. Weissman, Tracy L. Gerber, Travis Anthony Branch
Arbitrator(s): Harry B. Endsley, Harriette L. Holt, Richard Bruce Dole
Hearing Site: Honolulu, HI
| | Expungement |
| 09-03831 | 11/01/2010 | Claimant(s): Kathy Richardson
Claimant Lawyers(s): Jason C. Ridgell
Respondent(s): John Means, Matthew Wilson, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, John Francis Means, Matthew Bryan Wilson
Arbitrator(s): Richard P. Regan, Vicky L. Orem, Joan M. Smith
Hearing Site: Baltimore, MD
| | $891,856 |
| 07-03390 | 10/01/2010 | Claimant(s): Sharon Larocque, IRA
Claimant Lawyers(s): Sharon Larocque
Respondent(s): Travis Branch, Brookstreet Securities Corporation
Respondent Lawyers(s): H Thomas Fehn, Travis A. Branch
Arbitrator(s): Harry B. Endsley, Gary A. Hooker, Carol M. Egan
Hearing Site: Honolulu, HI
| | $0 |
| 08-04912 | 08/19/2010 | Claimant(s): Alan Schildhorn, David LaVance, Erin Koury, Grady Hunt, Howard McNeil, Jeffrey Koury, Martha LaVance, NFS/FMTC Rollover IRA FBO Howard & Donna
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Ted Nelson, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Kevin J. Woods, Tracy L. Gerber
Arbitrator(s): John B. Wells, Donald S. Simons, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
