| 13-02870 | 04/24/2015 | Claimant(s): Ignacio Covarrubias
Claimant Lawyers(s): Ignacio Covarrubias
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s): Gregory P. Szuter, Daniel G. Zeiser, Harvey Michael Rosenberg
Hearing Site: Cleveland, OH
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| 14-01600 | 04/24/2015 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
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| 12-02002 | 04/23/2015 | Claimant(s): Grace Financial Group LLC
Claimant Lawyers(s): Timothy P. Kebbe
Respondent(s): Apex Clearing Corporation, Penson Financial Services.
Respondent Lawyers(s): John P. Bevilacqua, Mark G. Hanchet
Arbitrator(s): W. Jeffrey Weinlandt, Renee La Verne Ross CFP, Richard Bryce Nesson
Hearing Site: New York, NY
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| 13-02874 | 04/23/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sara Soto
Respondent(s): Richard Ohrn
Respondent Lawyers(s): Richard Winsor Ohrn
Arbitrator(s): Alice J. Johnson, Joseph Benalt, Marilyn Nader
Hearing Site: Boca Raton, FL
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| 14-01712 | 04/22/2015 | Claimant(s): Livevol Securities.
Claimant Lawyers(s): Andrew T. Solomon
Respondent(s): Kimberly Kramer
Respondent Lawyers(s): Gerald M. Miller
Arbitrator(s): Martha B. Olson, Suanne F. Goldman, Susan L. Walker
Hearing Site: Chicago, IL
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| 14-02787 | 04/22/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Charles Garner
Respondent Lawyers(s): Charles E. Garner
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
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| 14-03479 | 04/22/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Nathan Zimmerman
Respondent Lawyers(s): Nathan Trent Zimmerman
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 14-02244 | 04/21/2015 | Claimant(s): Todd Hoffman
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Rebecca J. Nelson
Arbitrator(s): Jerrold E. Slutzky, Richard S. Zaifert, Martin M. Van Luven
Hearing Site: Tampa, FL
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| 14-02357 | 04/21/2015 | Claimant(s): Benjamin Sax, Eric Bodner
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): Deborah Friedman
Respondent Lawyers(s): John Ellis
Arbitrator(s): James D. Adducci
Hearing Site: Chicago, IL
| | Expungement |
| 14-03120 | 04/21/2015 | Claimant(s): Matthew Lowe, Michael Magruder
Claimant Lawyers(s): David E. Robbins
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): William E. Hartsfield, Daniel A. Kile, Stephen Ronald Crissey
Hearing Site: Dallas, TX
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