| 21-01492 | 10/14/2021 | Claimant(s): Matthew Plevelich
Claimant Lawyers(s): Matthew Plevelich
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
|  | $0 |
| 21-00459 | 09/30/2021 | Claimant(s): France David
Claimant Lawyers(s): Yves David
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Bryan Ward
Arbitrator(s): Ronald L. Cheney, Patrick W. McKeon, John James McGovern
Hearing Site: Augusta, ME
| | Dismissed by Rule 12504 |
| 20-01845 | 05/19/2021 | Claimant(s): Edward Blacka
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Kyle B. Osting
Arbitrator(s): John James McGovern
Hearing Site: Pittsburgh, PA
| | |
| 20-02888 | 05/13/2021 | Claimant(s): Gerald Corrigan
Claimant Lawyers(s): Gerald A. Corrigan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $125 |
| 20-02374 | 03/11/2021 | Claimant(s): Caroline Girgis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
| | |
| 20-02042 | 01/14/2021 | Claimant(s): Thomas McWilliams
Claimant Lawyers(s): Michael T. Gass
Respondent(s): PFS Investments Inc.
Respondent Lawyers(s): Adam M. Weaver
Arbitrator(s): Jim Geiger, Patrick W. McKeon, John James McGovern
Hearing Site: Manchester, NH
| | |
| 20-00995 | 12/10/2020 | Claimant(s): Matthew Dauksza
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): John James McGovern
Hearing Site: Syracuse, NY
| | |
| 20-00128 | 08/11/2020 | Claimant(s): Harold Youngren
Claimant Lawyers(s): Steven G. Legum
Respondent(s): John Parmigiani, Matthew Meehan, Robert Costomiris, Allied Millennial Partners
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): John James McGovern
Hearing Site: Augusta, ME
| | $300 |
| 19-02185 | 01/16/2020 | Claimant(s): Martin Cunningham
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): John James McGovern
Hearing Site: Manchester, NH
| | |
| 18-03605 | 08/23/2019 | Claimant(s): Mary Harger
Claimant Lawyers(s): Victor J. Segale
Respondent(s): Collin Fingon, Cetera Advisors LLC
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): John James McGovern
Hearing Site: Montpelier, VT
| | $0 |
