| 14-00047 | 07/13/2015 | Claimant(s): Ann Clark, James Clark
Claimant Lawyers(s): James O. Clark
Respondent(s): Jovannie Aquino, National Securities Corporation, Michael O'callaghan
Respondent Lawyers(s): Jovannie Aquino, Thomas J. Walsh
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
|  | $0 |
| 13-02047 | 06/10/2015 | Claimant(s): Linnea Sams, Linnea B. Sams Revocable Living Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): National Securities Corporation, Louis Rogers
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Robert S. Zuckerman, Donald B. Katz, Michael Andrew Glasser
Hearing Site: Norfolk, VA
| | Expungement |
| 14-01496 | 05/18/2015 | Claimant(s): National Securities Corporation, Roger Monteforte
Claimant Lawyers(s): Timothy Feil
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Denise L. Quarles
Hearing Site: New York, NY
| | |
| 14-00571 | 09/23/2014 | Claimant(s): Ian Cole
Claimant Lawyers(s): Ian S. Cole
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Jay M. Israel
Arbitrator(s): Ellyn S. Roth, Paul A Candeletti, Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 14-00501 | 09/05/2014 | Claimant(s): Ian Cole
Claimant Lawyers(s): Ian Cole
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Jay Marc Israel
Arbitrator(s): Catherine Ladnier, Leona Beane, Edward W. Morris
Hearing Site: New York, NY
| | |
| 12-02032 | 03/03/2014 | Claimant(s): Daniel Baron
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Adam Riback, National Securities Corporation
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Fred S. Pieroni, Barbara Weisman, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 11-02908 | 12/09/2013 | Claimant(s): Virginia Larson
Claimant Lawyers(s): James J. Moylan
Respondent(s): Darrell Sitarz, National Securities Corporation, Mark Bruscianelli, Navisis Financial
Respondent Lawyers(s): Company President, Dave Gaba, James J. Moylan, James Barbee
Arbitrator(s): Mary A. Duffy, Epaminondas Eddie Manelis, Robert Alan Murphy
Hearing Site: Chicago, IL
| | $219,070 |
| 13-00806 | 09/12/2013 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Jay M. Israel
Respondent(s): Cesar Rodriguez
Respondent Lawyers(s): Cesar Rodriguez
Arbitrator(s): Sondra Sellars
Hearing Site: Chicago, IL
| | |
| 12-00752 | 05/01/2013 | Claimant(s): Michael Freeman
Claimant Lawyers(s): Michael Edgar Freeman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Philip Levine, David Marcus, Peter L. Michaelson
Hearing Site: Newark, NJ
| | |
| 12-00058 | 03/18/2013 | Claimant(s): Joseph Westerland
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Christopher Bond, National Securities Corporation
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Paul J. Greco
Hearing Site: Wilmington, DE
| | Expungement |
