| 11-04458 | 11/08/2012 | Claimant(s): Gerald Hummel, Ila Hummel, Hummel Family Trust dtd 8/8/01
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Kay Johnson
Arbitrator(s): Edmund Herbert Hecht
Hearing Site: Orlando, FL
|  | $75,000 |
| 09-06699 | 12/14/2011 | Claimant(s): National Securities Corporation, Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): D. Dorsey
Respondent Lawyers(s): Bruce V. Schewe
Arbitrator(s): Frederick S. Duncan, Mark A. Myers, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
| | $72,312 |
| 10-02766 | 05/24/2011 | Claimant(s): Brent Richtsmeier
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Jack Kalisz, National Securities Corporation, Joseph Stevens & Co..
Respondent Lawyers(s): Josepha Sorbara, Mark Roth
Arbitrator(s): Annette Gres Shepherd, Robert E. Jenks, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-06224 | 11/11/2010 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Mark Roth
Respondent(s): Derek Lopez
Respondent Lawyers(s): Derek Lopez
Arbitrator(s): Michael R. Mitchell
Hearing Site: Los Angeles, CA
| | |
| 08-03088 | 01/27/2010 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Richard Darquea
Respondent Lawyers(s): Richard Darquea
Arbitrator(s): Michael A. Levin, Robert A. Fabricant, Arthur L. Tepper
Hearing Site: Boca Raton, FL
| | |
| 07-03514 | 12/14/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Michael J. McAllister
Respondent(s): Dino Dionne-Tontchev, National Securities Corporation, National Asset Management., Worldwide Wealth Management Inc.
Respondent Lawyers(s): Dino Dionne, Jamie Diaz, Mark Roth
Arbitrator(s): John N. Polakas, Elaine D. Papas, Robert Bartels
Hearing Site: New York, NY
| | |
| 08-00134 | 10/02/2008 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Stephen Renaud
Respondent Lawyers(s): Stephen Arthur Renaud
Arbitrator(s): Doris Lindbergh
Hearing Site: New York, NY
| | |
| 08-00135 | 08/06/2008 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Ronald Cole
Respondent Lawyers(s): Ronald Stillman Cole
Arbitrator(s): Leonard M. Bakal
Hearing Site: New York, NY
| | |
| 07-00401 | 06/24/2008 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Mark Roth
Respondent(s): Antonio Coladonato
Respondent Lawyers(s): Antonio Coladonato
Arbitrator(s): Larry A. Kimmel, Dorothy F. Gray, David N. Brainin
Hearing Site: New York, NY
| | |
| 07-01121 | 12/04/2007 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Jeffrey Leo
Respondent Lawyers(s): Jeffrey Christian Leo
Arbitrator(s): William A. Hohauser
Hearing Site: New York, NY
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