| 14-02550 | 03/30/2015 | Claimant(s): Arthur Cooper, David Mcmanus
Claimant Lawyers(s): Elaine M. Rice, George L. Guerra
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Helen Marinak Blohm, Laurel Littman Gothelf, Cynthia B. Stone
Hearing Site: Los Angeles, CA
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| 14-00087 | 03/27/2015 | Claimant(s): Mayank Chamadia
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Partrick W. Shea
Arbitrator(s): Roger M. Deitz, John B. Sprung, Brian John Gallagher
Hearing Site: New York, NY
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| 14-00551 | 03/27/2015 | Claimant(s): Angela Aliano
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Walter D. Goldsmith, J.D.
Hearing Site: New York, NY
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| 14-02222 | 03/27/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Robert Dunbar
Respondent Lawyers(s): Robert J Dunbar
Arbitrator(s): Frank C. Fogl
Hearing Site: Pittsburgh, PA
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| 14-03096 | 03/27/2015 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 14-02542 | 03/26/2015 | Claimant(s): Alexis Herzberg
Claimant Lawyers(s): Alisa Fermaglich
Respondent(s): Tullett Prebon Financial Services LLC
Respondent Lawyers(s): Peter J. Dugan
Arbitrator(s): Ira S. Cure
Hearing Site: New York, NY
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| 14-02527 | 03/25/2015 | Claimant(s): Richard Simpson
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Helen James, Helen James Living Trust
Respondent Lawyers(s): Helen James
Arbitrator(s): James D. Knotter, John Goodrich, Steven F. Bernstein
Hearing Site: San Diego, CA
| | Expungement |
| 14-00973 | 03/23/2015 | Claimant(s): Joseph Nunn
Claimant Lawyers(s): Joseph C. Nunn
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Kimberlee A. Malaska
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
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| 14-03597 | 03/23/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jon Fletcher
Respondent Lawyers(s): Jon Michael Fletcher
Arbitrator(s): Jeff Kilgore
Hearing Site: Houston, TX
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| 12-01916 | 03/20/2015 | Claimant(s): Barry Cassese
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Charles Carrillo, Louis Ward, Michael Finnan, Paul Metz, K.C. Ward Financial, Morgan Wilshire Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Robert I. Rabinowitz, Robert Van De Veire
Arbitrator(s): Linda Ashley, C. Kenneth Yoblon, Phillip Weitzman
Hearing Site: New York, NY
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