| 14-03803 | 11/23/2015 | Claimant(s): Tony Hartman
Claimant Lawyers(s): Margaret E. Peper
Respondent(s): VFG Securities.
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00339 | 11/23/2015 | Claimant(s): Investment Planners.
Claimant Lawyers(s): Renee Emrick
Respondent(s): Gordon Roberts
Respondent Lawyers(s): Matthew S. Hardin
Arbitrator(s): James J. Eccleston
Hearing Site: Chicago, IL
| | $0 |
| 15-01267 | 11/23/2015 | Claimant(s): Wunderlich Securities.
Claimant Lawyers(s): Mark D. Griffin
Respondent(s): April Morris-Spicer
Respondent Lawyers(s): April C. Morris-Spicer
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | $0 |
| 15-01843 | 11/23/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P Gaster
Respondent(s): Michael Gopie
Respondent Lawyers(s): Michael P Gopie
Arbitrator(s): Roger B. Jacobs
Hearing Site: New York, NY
| | $0 |
| 14-02042 | 11/20/2015 | Claimant(s): Bret Ackerman
Claimant Lawyers(s): Paul H. Aloe
Respondent(s): Evan Schwartzberg, Mathew Van Alstyne, Bonwick Capital Partners, Odeon Capital Group LLC
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Abigail J. Pessen, Carol Maria Luttati, Brian Lawrence Berlandi
Hearing Site: New York, NY
| | $0 |
| 14-02621 | 11/20/2015 | Claimant(s): Santander Securities Corporation
Claimant Lawyers(s): Jorge I. Peirats
Respondent(s): Lourdes Casellas Castillo, Rafael Gonzalez, Gonzalez & Castillo Conjugal Partnership
Respondent Lawyers(s): Carlos Bobonis Gonzalez, Enrique G. Figueroa Llinas
Arbitrator(s): Steven R. Reininger, Harry Dressler, Luz Cenit Deliz-Cruz
Hearing Site: San Juan, PR
| | $0 |
| 13-03119 | 11/19/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Lynne C. Hermle, Trish M. Higgins
Respondent(s): Carrie Riley
Respondent Lawyers(s): Stephen S. Smith
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
| | $0 |
| 13-03517 | 11/19/2015 | Claimant(s): Adam Frisch
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Clarence Smith, Alexandra L. Dunaif, James I. Berliner
Hearing Site: New York, NY
| | $0 |
| 13-01995 | 11/17/2015 | Claimant(s): Sean Edrington
Claimant Lawyers(s): Joseph R. Becerra
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Herbert Murez, Benjamin F. Breslauer, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03448 | 11/17/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Steven Spitts
Respondent Lawyers(s): Steven Craig Spitts
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | $0 |
