| 12-00492 | 05/29/2014 | Claimant(s): Bobb Meckenstock
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): James Livingston, Scott Romine, National Planning Corporation
Respondent Lawyers(s): Ross A. Anderson
Arbitrator(s): Thomas B. Phillips, James A. Hayes, Van R. Oliver
Hearing Site: Wichita, KS
| | |
| 13-03153 | 05/29/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Fred Mandell
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Herbert Murez, Salvatore A. Sciortino, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02809 | 05/23/2014 | Claimant(s): Douglas Sharon
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): J.P. Morgan Clearing Corp., J.P. Morgan Securities, Bear Stearns Asset Management Inc.
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Lowell D. Johnston, Douglas S. Abel, Daniel F. Morrissey
Hearing Site: New York, NY
| | |
| 13-00714 | 05/23/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Nancy Hendrickson
Respondent(s): Daniel Micha
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Mark L Miller, Donald V. Anderson, Richard H. Porter
Hearing Site: Milwaukee, WI
| | |
| 13-02721 | 05/23/2014 | Claimant(s): Edward Heartfield, Karen Transier
Claimant Lawyers(s): Matthew E Wolper
Respondent(s): Frank Levy
Respondent Lawyers(s): Lance C. McCardle
Arbitrator(s): Brian James Tagtmeier
Hearing Site: New Orleans, LA
| | Expungement |
| 12-02752 | 05/21/2014 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jonathan Kramer
Respondent(s): John Mazzarella
Respondent Lawyers(s): John Fredrick Mazzarella
Arbitrator(s): Sheldon Seligsohn
Hearing Site: Philadelphia, PA
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| 13-00584 | 05/21/2014 | Claimant(s): Jeffrey Boyle, William Areklett, Paracap Group LLC, Paragon Capital Group LLC
Claimant Lawyers(s): Scott C. Matasar
Respondent(s): Charles Crowley, Christopher Chapman, Michael Voinovich, Steven Weigand, Boenning & Scattergood.
Respondent Lawyers(s): Brett S. Krantz, Philip G. Kircher
Arbitrator(s): Thomas H. Barnard, Marianne L. Simpson, Eileen B. Vernon
Hearing Site: Cleveland, OH
| | |
| 13-01913 | 05/21/2014 | Claimant(s): Aegis Capital Corp.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Michael Kaplan
Respondent Lawyers(s): Michael Kaplan
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | |
| 13-03776 | 05/21/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Matthew Ortman
Respondent Lawyers(s): Matthew John Ortman
Arbitrator(s): Mitchel Weiss
Hearing Site: Jacksonville, FL
| | |
| 12-02326 | 05/20/2014 | Claimant(s): Scott Tierney
Claimant Lawyers(s): Kevin P. McKernan
Respondent(s): Michael Burkoff
Respondent Lawyers(s): Michael Huberman
Arbitrator(s): Abigail J. Pessen
Hearing Site: New York, NY
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