| 23-02915 | 11/18/2024 | Claimant(s): Philip Maliniak, Xerxes Nabong
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Sagepoint Financial., United Planners' Financial Services Of A
Respondent Lawyers(s): David B. Hauer, Jennifer R. Cox
Arbitrator(s): Michael J. Ahlstrom, Gordon M. Wase, Everett Reveley
Hearing Site: Norfolk, VA
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| 23-02806 | 09/11/2024 | Claimant(s): Steven Prestyly
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Harvey R. Linder, Margaret Verdery Little, Dexter Thomas Laughlin
Hearing Site: Norfolk, VA
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| 22-01965 | 05/09/2024 | Claimant(s): Christopher Heilman, Ronald Kiser
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Andrew J. Shapren
Arbitrator(s): Marian Smith Glenn, Catherine Esther Bocskor, Douglas Ken Rudley
Hearing Site: Norfolk, VA
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| 22-00794 | 04/06/2023 | Claimant(s): Norman Williams
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Frederick Hughes, Wells Fargo Clearing Services
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Gordon M. Wase, Arthur B. O'Connell, John D. Mattingly
Hearing Site: Norfolk, VA
|  | $475,625 |
| 22-01659 | 01/11/2023 | Claimant(s): Margaret Wiley
Claimant Lawyers(s): Bryan Ward
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Edward R. Hipp, Michael J. Ahlstrom, John D. Mattingly
Hearing Site: Norfolk, VA
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| 21-01391 | 12/13/2022 | Claimant(s): Christine Bourdelais
Claimant Lawyers(s): Christine Callie Bourdelais
Respondent(s): NYLife Securities LLC, NY Life Insurance Company of Arizona, New York Life Insurance & Annuity Corp., New York Life Insurance Company
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Michael J. Ahlstrom, Lawrence M. Barnes, Catherine Esther Bocskor
Hearing Site: Norfolk, VA
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| 21-02210 | 06/17/2022 | Claimant(s): Douglas Hillebrandt
Claimant Lawyers(s): Christopher Warren
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Robert H. Putnam
Hearing Site: Norfolk, VA
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| 20-03366 | 03/03/2022 | Claimant(s): Jayne Di Vincenzo
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Devin Garofalo
Respondent Lawyers(s): W.R. Baldwin
Arbitrator(s): Janice L. Burnham, JoAnne Lewis Nolte, Michael Andrew Glasser
Hearing Site: Norfolk, VA
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| 21-00082 | 12/16/2021 | Claimant(s): James Bales
Claimant Lawyers(s): James Cosby
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael West
Arbitrator(s): Edward R. Hipp, Lita S Menkin, Gordon M. Wase
Hearing Site: Norfolk, VA
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| 20-02997 | 06/22/2021 | Claimant(s): Robert Bradshaw
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Jim Geiger
Hearing Site: Norfolk, VA
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