| 14-01728 | 04/02/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette P Morales
Respondent(s): John l. Norris Rollover, Vivianne Norris IRA Rollover, John L. Norris and Vivianne Norris JT TE
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Coleman Robert Perry, C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 14-02315 | 04/02/2015 | Claimant(s): John Jacobs
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Mitchell Lee Marinello
Hearing Site: Chicago, IL
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| 14-02458 | 04/02/2015 | Claimant(s): Commonwealth Financial Network
Claimant Lawyers(s): Joe Tully
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): J. Maxwell Williams
Hearing Site: Memphis, TN
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| 14-02976 | 04/02/2015 | Claimant(s): Lawrence Liebers
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Madelyn A. Levy
Hearing Site: New York, NY
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| 14-02280 | 04/01/2015 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Elizabeth M. HIll
Respondent(s): Jo Fisher
Respondent Lawyers(s): Rose M. Schindler
Arbitrator(s): Charles D. Underwood, John B. Glueckert, Robert L. Washburn
Hearing Site: Columbus, OH
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| 14-03320 | 04/01/2015 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): Pete S. Michaels
Respondent(s): James Perry
Respondent Lawyers(s): James P. Perry
Arbitrator(s): Frank C. Fogl
Hearing Site: Pittsburgh, PA
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| 13-03650 | 03/31/2015 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Kelli Hartsook
Respondent(s): Tiffany Peacock-Asakawa
Respondent Lawyers(s): Tiffany Danielle Peacock-Asakawa
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
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| 14-01963 | 03/31/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Fred Brown
Respondent Lawyers(s): Fred Ronald Brown
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
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| 14-00218 | 03/30/2015 | Claimant(s): Carlos Gallo, Jeannie Adams-Camblin
Claimant Lawyers(s): Chryssa V. Valletta, Donald L. Kreindler
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Steven N. Ainbinder, Bernard A. Becker, Eugene D. Mirabello
Hearing Site: Miami, FL
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| 14-01452 | 03/30/2015 | Claimant(s): Saundra Armstrong
Claimant Lawyers(s): Thomas M. Campbell
Respondent(s): Robert Colangelo, Brookview Capital LLC
Respondent Lawyers(s): Howard Schragin
Arbitrator(s): Christine Moore, Antonio Concepcion, Kevin P. Feerick
Hearing Site: New York, NY
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