| 20-00898 | 06/28/2021 | Claimant(s): Bryan Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Nationwide Investment Services Corporati
Respondent Lawyers(s): Ali I. Haque
Arbitrator(s): Edward Blumstein
Hearing Site: Columbus, OH
| | |
| 20-01544 | 11/13/2020 | Claimant(s): John Halterman
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Parkland Securities
Respondent Lawyers(s): Randolph F. Pistor
Arbitrator(s): Edward Blumstein
Hearing Site: Charleston, WV
| | |
| 18-04431 | 09/30/2019 | Claimant(s): Jaret Mutter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Suntrust Investment Services.
Respondent Lawyers(s): Josef Rosen
Arbitrator(s): Edward Blumstein
Hearing Site: Richmond, VA
| | |
| 16-02059 | 04/10/2019 | Claimant(s): Thomas Whitman
Claimant Lawyers(s): Richard Fosher
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Edward Blumstein, Tina E. Patterson, W. Michael Frazier
Hearing Site: Charleston, WV
|  | $74,993 |
| 17-02953 | 06/06/2018 | Claimant(s): Michael Butterworth
Claimant Lawyers(s): Edwin L. Stock
Respondent(s): Equity Services., Hornor, Townsend & Kent., MML Investors Services
Respondent Lawyers(s): Derek C. Anderson, George D. Fagan, Julie E. Ravis
Arbitrator(s): Louis H. Miron, Edward Blumstein, Glenn J. Hansen
Hearing Site: Wilmington, DE
| | |
| 17-00798 | 05/01/2018 | Claimant(s): Jerry Caporale
Claimant Lawyers(s): Jerry Caporale
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Kevin Lee
Arbitrator(s): Edward Blumstein
Hearing Site: Philadelphia, PA
| | |
| 16-03692 | 04/10/2018 | Claimant(s): Robert Hill
Claimant Lawyers(s): Adam Weinstein
Respondent(s): Todd Crawford, Capital City Securities
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Edward Blumstein, John James McGovern, James T. Carney
Hearing Site: Pittsburgh, PA
| | Expungement |
| 17-00901 | 11/22/2017 | Claimant(s): Victoria Mueller
Claimant Lawyers(s): Alvin L. Fishman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Edward Blumstein, Lucia A. Aschettino, Melanie Merchant Cunningham
Hearing Site: Hartford, CT
| | |
| 15-03035 | 01/10/2017 | Claimant(s): George Sofis, Preya Saroop, Rohit Saroop
Claimant Lawyers(s): David Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Cameron Stout
Arbitrator(s): Edward Blumstein, Carol A. Schuyler, Simon Jonathan Lawrence
Hearing Site: Richmond, VA
| | $1,544,800 |
| 15-03291 | 01/04/2017 | Claimant(s): Jay McCay
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Diane Ciccone, Edward Blumstein, William J. Hirsch
Hearing Site: Philadelphia, PA
| | Expungement |
