| 23-00534 | 09/30/2024 | Claimant(s): Robert Thomas
Claimant Lawyers(s): Michael Bessette
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Gregg J. Brietbart
Arbitrator(s): Frederick W. Keuthen, Robert L. Chase, John James McGovern
Hearing Site: Augusta, ME
| | |
| 20-03738 | 03/21/2024 | Claimant(s): Michael Resch, Robert Galbreath, William Galbreath
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Anthony Stanley, Northwestern Mutual Investment Services
Respondent Lawyers(s): Jeffrey J. Chomko, Liam O'Brien
Arbitrator(s): Dolores E Trojak, John James McGovern, Peter John Maurice Forbes
Hearing Site: Philadelphia, PA
| | |
| 23-01882 | 03/01/2024 | Claimant(s): Cory Grandel
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): John James McGovern
Hearing Site: Pittsburgh, PA
| | |
| 23-00701 | 11/20/2023 | Claimant(s): Marc Basist
Claimant Lawyers(s): Adam Gana
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206(b) |
| 21-02075 | 06/26/2023 | Claimant(s): Bernard Audet
Claimant Lawyers(s): Matthew R. Major
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Alan M. Schankel, John James McGovern, Robin L. Lewis
Hearing Site: Philadelphia, PA
| | |
| 22-00803 | 05/04/2023 | Claimant(s): Norman D'Silva
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PFS Investments Inc.
Respondent Lawyers(s): Marva Graham
Arbitrator(s): John James McGovern
Hearing Site: Manchester, NH
| | |
| 22-00678 | 02/21/2023 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. LaPorta
Respondent(s): Kenneth Schaefer
Respondent Lawyers(s): Kenneth Gerard Schaefer
Arbitrator(s): Peter Svorinic, John James McGovern, Jud Perkins
Hearing Site: Providence, RI
| | |
| 20-03899 | 12/30/2022 | Claimant(s): Cranston Fire & Police Dept Pension Plan
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Mary C. Kelleher, John James McGovern, Patrick R. Westerkamp
Hearing Site: Providence, RI
| | Expungement |
| 17-01238 | 08/15/2022 | Claimant(s): Robert Little
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Andrew Drago, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Robert J. Scafuri, John James McGovern, Walter Meagher
Hearing Site: Syracuse, NY
| | $0 |
| 21-01206 | 01/06/2022 | Claimant(s): Jose Batista
Claimant Lawyers(s): August M. Iorio
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): John James McGovern
Hearing Site: Hartford, CT
| | $29,611 |
