| 14-02119 | 09/04/2015 | Claimant(s): Paul Schimmeck
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): John B. Morgan, Howard J. Stiefel, Martin A. Edelstein
Hearing Site: New York, NY
| | $0 |
| 15-00860 | 09/03/2015 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Taryn Olszewski
Respondent Lawyers(s): Taryn Lynn Olszewski
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
| | $0 |
| 14-03170 | 09/01/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Elizabeth Smith
Respondent Lawyers(s): Elizabeth Smith
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | $0 |
| 15-01325 | 09/01/2015 | Claimant(s): Ameriprise Financial Services., Scott Miller
Claimant Lawyers(s): Danya W. Blair
Respondent(s): Jeremy Walker
Respondent Lawyers(s): Brian D. Esenwein
Arbitrator(s): Louis J. Weber, Robert L. Yeager, Darryl Lipinski
Hearing Site: Dallas, TX
| | $0 |
| 14-01786 | 08/31/2015 | Claimant(s): Uzoma Ogene
Claimant Lawyers(s): Uzoma Ogene
Respondent(s): TD Ameritrade., Jeffrey Plummer
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): James R. McGuone, Bernard Leroy Lynch, James David Askren
Hearing Site: Atlanta, GA
| | $0 |
| 12-03766 | 08/28/2015 | Claimant(s): Sean Martin
Claimant Lawyers(s): Pearl Zuchlewski
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Scott Rabe
Arbitrator(s): Marleen H. Levi, Joel P. Mellis, Richard Adam Young
Hearing Site: New York, NY
| | $0 |
| 14-01106 | 08/28/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Wendy R. Hughes
Respondent(s): Carrie Riley
Respondent Lawyers(s): Carrie J. Riley
Arbitrator(s): Gerald F. Corrigan
Hearing Site: Los Angeles, CA
| | $0 |
| 14-01508 | 08/28/2015 | Claimant(s): Charles Doraine
Claimant Lawyers(s): Donald M Feferman
Respondent(s): Kevin Mccracken, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Frank M. Romano, Reginald Harris Brockwell, Julie Marie Miller
Hearing Site: Houston, TX
| | $0 |
| 15-00008 | 08/27/2015 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Katie Ambroziak
Respondent(s): Stephen Brune
Respondent Lawyers(s): Stephen Lloyd Brune
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $0 |
| 15-00160 | 08/25/2015 | Claimant(s): Stephen Renaud, Silver Dice Inc. c/o Michael A. Silverma
Claimant Lawyers(s): Barbara J. Glenns
Respondent(s): William Potter, Meredith Financial Group Inc., Robert R. Meredith & Co..
Respondent Lawyers(s): Lisa Rosenthal
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | $0 |
