| 14-00946 | 03/05/2015 | Claimant(s): Radion Medvedovskiy
Claimant Lawyers(s): David E. Robbins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Alexandra L. Dunaif, Anna Lascar, Emily M. Altman
Hearing Site: New York, NY
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| 13-03210 | 03/04/2015 | Claimant(s): Householder Group Financial Advisors, LL
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Debra Householder, Scott Householder, HG Marketing Services., Householding., Securities Service Network., TGH.
Respondent Lawyers(s): Christopher G. Lazarini, Robert D. Mitchell
Arbitrator(s): James E. Stark, Seymour A. Kolman, Ronald Edward Hibbing
Hearing Site: Phoenix, AZ
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| 13-00784 | 03/04/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Connie Mack, Mark Blom, Richard Rosso
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): R. Lee Britton Jr., Carol Akers Klug, Steven Dale Smit
Hearing Site: Houston, TX
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| 13-02520 | 03/04/2015 | Claimant(s): Terry Hollar
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Michael Gerken, Stephen Molen, Thrivent Investment Management Inc.
Respondent Lawyers(s): Eric Martin
Arbitrator(s): C. Marcus Harris, James F. Major, David M. Finkel
Hearing Site: Charlotte, NC
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| 13-03007 | 03/04/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Simone A. Muscarnera, Leo J. Karwejna, Paul Allan Massaro
Hearing Site: Newark, NJ
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| 14-00147 | 03/04/2015 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): Frank Sliwinski
Respondent Lawyers(s): Frank Sliwinski
Arbitrator(s): C. Gregory Ellison, Brenda J. Stovall, Tina E. Patterson
Hearing Site: Baltimore, MD
| | Expungement |
| 14-02003 | 03/04/2015 | Claimant(s): Jennifer Miller, John Bonfiglio, Lorene Hobgood, Randy Bellelo, Richard Smith, Sandra Leblanc, Cat Island Conservancy, Louis Mechanical Contractors., On-Site Concrete, Angela K. Bonfiglio, IRA, Daniel J. Bonfiglio, Danny R. Myers, Debrah M. Sledge, Donal B. Bahrenburg, Guy W. Sledge, Jack O. Marshall, Jr., Judith L. Anderson, Kathryn M. Roberts, Thomas H. Newland, Carroll Mayer Jr. or Berta Mayer, et al
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Pershing LLC
Respondent Lawyers(s): Elizabeth Edwards
Arbitrator(s):
Hearing Site: New Orleans, LA
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| 14-02203 | 03/04/2015 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Ronald Chun
Hearing Site: San Francisco, CA
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| 14-00286 | 03/03/2015 | Claimant(s): Jon Arnold
Claimant Lawyers(s): Douglas R. Jennings
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): C. Robert Rittberger, Amy L. Wachs, Kevin Brodar
Hearing Site: Cleveland, OH
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| 12-02804 | 03/02/2015 | Claimant(s): Morgan Stanley, MSSB FA Notes Holding
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard S. Zaifert, Barbara H. Reed, Peter A. Portley
Hearing Site: Boca Raton, FL
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