| 23-03601 | 10/31/2024 | Claimant(s): Richard Treat
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
|  | $0 |
| 22-02533 | 10/22/2024 | Claimant(s): Bruce Gallagher, Kathleen Gallagher, on behalf of his IRA, on behalf of her IRA, Bruce and Kathleen Gallagher, jointly
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Richard S. Zaifert, David M. Snyder, Carolyn E. Moore
Hearing Site: Tampa, FL
| | Expungement |
| 23-03188 | 08/14/2024 | Claimant(s): David Moran, David Moran on behalf of his IRA account
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Robert D. Sussin, Joseph Alfred Davis, Howard Clark Posner
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 23-03079 | 08/12/2024 | Claimant(s): Patricia Earl, Robert Earl, OCS OLI
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Brian Batson, Cary Corwin, Lion Street Financial
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Lewis Gordon Brewer, Tiffany Wax, Catherine Harper
Hearing Site: Orlando, FL
| | Dismissed by Rule 12504(a)(6)(B) |
| 23-01031 | 07/15/2024 | Claimant(s): Sandra Scullen, Sandra M. Scullen IRA
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Securities America.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Louis J. Weber, Eric Ross Cromartie, Michael Wayne Johnston
Hearing Site: Dallas, TX
| | $0 |
| 22-00976 | 12/08/2023 | Claimant(s): Harriet Isecke, William Isecke, Harriet Isecke IRA, William Isecke IRA
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): John A. Scudiero, Edith M. Novack, Emily Diamond
Hearing Site: Jersey City, NJ
| | Expungement |
| 22-00227 | 10/30/2023 | Claimant(s): Lauren Gazzola as AIF for Robert Gazzola, The Robert Gazzola Irrevocable Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Jud Perkins, David Adams Reif, Ilene J Feldman
Hearing Site: Hartford, CT
| | Dismissed by Rule 12212© |
| 20-01074 | 08/22/2023 | Claimant(s): Robert A. Garvy Restated Revocable Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-02332 | 04/19/2022 | Claimant(s): Donna Berg IRA
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Karl Foust
Respondent Lawyers(s): Karl Ronald Foust
Arbitrator(s): Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | $62,225 |
| 19-03788 | 03/31/2022 | Claimant(s): De Mille RT DTD 1/26/93, De Mille TTEE
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Guy Harrigan, James Teegarden, Lion Street Financial, Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern, Kathy M. Klock
Arbitrator(s): Nicole T. LeBoeuf, Phyllis Sandra Hill, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
