| 16-01991 | 08/15/2018 | Claimant(s): Douglas Gordon, Patricia Gordon
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Steven Gerard Goerke, Will Murphy, Gary Mathew Singer
Hearing Site: Boca Raton, FL
|  | Expungement |
| 15-03150 | 07/13/2016 | Claimant(s): Timothy Craiger
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Capital City Securities
Respondent Lawyers(s): Todd E. Crawford
Arbitrator(s): James R. Duncan, Mark S. Priver, James Stephan Mulholland
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 13-01667 | 02/10/2015 | Claimant(s): John Frencl
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Lisa Shusterman, Coleman Robert Perry, Billy G. Hopkins
Hearing Site: Louisville, KY
| | Expungement |
| 12-01256 | 01/13/2014 | Claimant(s): Julie Amergian
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Robert S. Hark, Christopher C. Gorski, Peter L. Murray
Hearing Site: Augusta, ME
| | Expungement |
| 10-05635 | 04/16/2013 | Claimant(s): Dennis Lowery, James Vaughn, Robert Cancellieri
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Fred S. Pieroni, Jacob Aschkenasy, Douglas S. Abel
Hearing Site: New York, NY
| | Expungement |
| 11-04489 | 01/25/2013 | Claimant(s): Papell Family Trust v/a/d 8/12/1997
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Thomas E. Shuck, Mario H. Metzger, Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $0 |
| 11-02971 | 12/11/2012 | Claimant(s): David Baratko
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): William E. Smith, Timothy J. Brown, S. Charles Tabak
Hearing Site: Newark, NJ
| | Expungement |
| 10-04306 | 01/23/2012 | Claimant(s): Candace Roderick, Kayla Ann Roderick Trust, Olive M. Larwrence Trust
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Mary C. Kelleher, Christine Armstrong, James R. Collins
Hearing Site: Boston, MA
| | Expungement |
