| 19-03839 | 02/02/2022 | Claimant(s): David Petterson, Lannie Devin, Larry Marple, Michael Shain, Richard Dawalt, Robert Lowman, Robert Reichle, Willard Grummert, Marilyn A. Martinson, Walter Walker Investment Co. Ltd.
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Carmine Berardi, Daniel Marsillo, Michael Leahy, Philip Sparacino
Respondent Lawyers(s): Carmine Anthony Berardi, Daniel Joseph Marsillo, Michael Leahy, Philip Joseph Sparacino
Arbitrator(s): Joseph C. Roberts, Steven Phillip Caplow, Christopher Keay
Hearing Site: Seattle, WA
|  | $2,868,580 |
| 19-01855 | 01/28/2022 | Claimant(s): David Frost
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Kevin Wilson, Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Kevin Richard Wilson, Richard J. Babnick
Arbitrator(s): Ilene T. Gormly, Robert J. Carlson, Joseph Neal Richardson
Hearing Site: Wichita, KS
| | $0 |
| 19-01199 | 01/26/2022 | Claimant(s): Pamela A. Frost IRA
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Kevin Wilson, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Kevin Richard Wilson, Richard J. Babnick
Arbitrator(s): Kelley L Cornelius, Ilene T. Gormly, Lawrence R. Maxwell
Hearing Site: Wichita, KS
| | $60,205 |
| 20-00636 | 10/15/2021 | Claimant(s): Howard Merrill, Howard Merrill Rev Living Tr U/A 2/9/15, Howard R. Merrill TTEE
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): National Securities Corporation, Thomas Kelly
Respondent Lawyers(s): Fred N. Knopf, Robert M. Bursky
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | Expungement |
| 19-02155 | 08/17/2021 | Claimant(s): Robert Crane
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Christopher Nelson, Craig Sherman, Joseph Thurnherr, Robert Calamunci, Wynston Hill Capital
Respondent Lawyers(s): Christopher Joseph Nelson, David A. Allen, Joseph Morris Thurnherr, Paul Goodman
Arbitrator(s): David Evans Rosedahl, Avery B. Goodman, Mark A. Frankel
Hearing Site: Des Moines, IA
| | $478,477 |
| 20-01435 | 07/22/2021 | Claimant(s): Christopher DiGregorio
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola Anne Murphy
Arbitrator(s): Catherine Stewart
Hearing Site: Jersey City, NJ
| | |
| 20-02391 | 07/08/2021 | Claimant(s): Alan Sharpe
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
| | |
| 20-02200 | 06/04/2021 | Claimant(s): Christopher DiGregorio
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
| | |
| 20-02389 | 05/21/2021 | Claimant(s): Alan Sharpe
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Moors & Cabot.
Respondent Lawyers(s): Peter Svorinic
Arbitrator(s): Jeffrey P. Petrucelly
Hearing Site: Boston, MA
| | |
| 19-01849 | 05/06/2021 | Claimant(s): James Cox
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Daniel Soliman, Mario Divita, Traderfield Securities Inc.
Respondent Lawyers(s): Daniel M. Soliman, Mario Divita
Arbitrator(s): Barry Goldman
Hearing Site: Milwaukee, WI
| | Expungement |
