| 14-00630 | 12/23/2014 | Claimant(s): Howard Kobrin
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Steven M. Greenbaum, Marc T. Danon, Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 14-01579 | 12/23/2014 | Claimant(s): Jonathan Phillips
Claimant Lawyers(s): Gilbert C. Laite
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Lynne T. Albert, Michael J. Henke, Stephen Gregg Ellis
Hearing Site: Raleigh, NC
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| 12-03700 | 12/22/2014 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Gene L. Small
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): James R. McGuone, Royce Alan Burns, Charles E. White
Hearing Site: Atlanta, GA
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| 13-02288 | 12/22/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Gaetan Gagne
Respondent Lawyers(s): Julie Elizabeth Hough
Arbitrator(s): Richard S. Zaifert
Hearing Site: Boca Raton, FL
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| 14-00482 | 12/22/2014 | Claimant(s): Andrea Halperin
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Trish M. Higgins
Arbitrator(s): Richard N. Friedman, June McLaughlin, Dorothy B. Strackbein
Hearing Site: Los Angeles, CA
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| 14-01212 | 12/22/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan A. Scobie
Respondent(s): Louis Melone
Respondent Lawyers(s): Louis Michael Melone
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
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| 13-02124 | 12/19/2014 | Claimant(s): Raymond Walton
Claimant Lawyers(s): Nancy Temple
Respondent(s): Cantor Fitzgerald & Co., BGC Financial, L.P.
Respondent Lawyers(s): David E. Schoenfeld
Arbitrator(s): Kenneth N. Adamson, Epaminondas Eddie Manelis, John M. Kramer
Hearing Site: Chicago, IL
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| 14-01912 | 12/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ben Schwartz, Simplified Employee Plan,Ben I. Schwartz, Schwartz Commercial Realty Defined Benef
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Peter H. Daly, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00440 | 12/18/2014 | Claimant(s): John Thomas Financial
Claimant Lawyers(s): Dan Druz
Respondent(s): Anthony Maiuolo, Darren Himmelstein, Keith Williams, Renos Gordos, Rodney Laveau
Respondent Lawyers(s): Adam D. Cole
Arbitrator(s): Nancy Kramer, Robert E. Riccobono, Mildred Cruz-Dorta
Hearing Site: New York, NY
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| 14-01234 | 12/18/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Benjamin A. Kerner
Hearing Site: Detroit, MI
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