| 10-05361 | 03/21/2014 | Claimant(s): Barry Goodman, Dana Goodman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Meyers Associates, L.P.
Respondent Lawyers(s): David A. Schrader
Arbitrator(s): R. Thomas Barksdale, Jeffrey M. Bain, Donna L. Pavlick
Hearing Site: Nashville, TN
|  | $447,580 |
| 12-01674 | 12/30/2013 | Claimant(s): Colum O'Hare, Colum G. O'Hare Trust dd 9/01/1993
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Gary Glockzin, Mary Gibson, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Fred T. Kallet, Lester G. Stiel, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | Expungement |
| 11-01626 | 12/20/2013 | Claimant(s): Principle Capital Partners, L.P.
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert Topp
Arbitrator(s): Joel Margolies, Perry Earl Phillips, Harvey Russell Preston
Hearing Site: Boca Raton, FL
| | $137,000 |
| 11-01480 | 11/07/2013 | Claimant(s): Denise Valentini
Claimant Lawyers(s): Denise L. Valentini
Respondent(s): Meyers Associates, L.P.
Respondent Lawyers(s): David S. Schrader
Arbitrator(s): Steven R. Reininger, Joseph T. Donnantuoni, Dennis M. Ross
Hearing Site: Boca Raton, FL
| | $0 |
| 13-00939 | 09/25/2013 | Claimant(s): Polly Knoll, SEP IRA
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Daniel Retzke, Edward D. Jones & Co., L.P.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Sheldon I. Saitlin
Hearing Site: Milwaukee, WI
| | $19,600 |
| 10-02424 | 09/18/2013 | Claimant(s): The Police and Fire Retirment System
Claimant Lawyers(s): Michael J. Sheehan
Respondent(s): Glenn Murray, Citigroup Global Markets., John Giampetroni, Morgan Stanley, GSC CDO, L.L.C., GSC PARTNERS CDO INVESTORS II, L.P., GSC PARTNERS CDO INVESTORS, GSCP (NJ) L.P., Morgan Stanley Dean Witter
Respondent Lawyers(s): Daniel A. Ross, Gregory B. Simon, Rawn Howard Reinhard, Stefan R. Dandelles
Arbitrator(s): Richard C. Vanden Brul, Stephen D Kursman, Gerald W. Hepp
Hearing Site: Detroit, MI
| | $0 |
| 12-02877 | 09/11/2013 | Claimant(s): Ray Cahnman, Redwood Partners, L.P.
Claimant Lawyers(s): Robert J. Mottern
Respondent(s): Michael Cavallaro, Steven Hovde, Hovde Securities LLC
Respondent Lawyers(s): Gerald B. Kline, Justin J. Millette
Arbitrator(s): A. Brad Busscher, Samuel B. Garber, James Michael Bailey
Hearing Site: Chicago, IL
| | Expungement |
| 11-04700 | 08/19/2013 | Claimant(s): Wanda Jeffries
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Edward D. Jones & Co., L.P.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Donald Milo Helton, Kenneth M. Jackson, Richard K. Smith
Hearing Site: Nashville, TN
| | Expungement |
| 12-00807 | 08/01/2013 | Claimant(s): Fred Guenther
Claimant Lawyers(s): D. Daxton White
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Lawrence Alexander Huerta, Otis E. Hackett, Kenneth Andrew Klinko
Hearing Site: San Diego, CA
| | Expungement |
| 12-02781 | 07/11/2013 | Claimant(s): Enrique Montano
Claimant Lawyers(s): Enrique Montano
Respondent(s): Cuso Financial Services, L.P.
Respondent Lawyers(s): Maria J. Seedner
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | $0 |
