13-02540 | 05/28/2015 | Claimant(s): Anne Rapp, Brian Vaughn, Brooks Culley, Charles Bigelow, Charles Redfearn, David Kells, Frank Piraino, Frank Vaughn, George Skaates, Harold Stulbaum, Howard Applebaum, Joseph Rapp, Joseph Reale, Michael King, Nikki Applebaum, Regina Kinney, Richard Lenhart, Robert Kinney, Robert Starzel, Ronald Vaughn, et al Claimant Lawyers(s): Kevin P. Conway Respondent(s): Anthony Lodati, Brookville Capital Partners Respondent Lawyers(s): Brett D. Zinner Arbitrator(s): Lise Gabrielle Hunter, Thomas D. Giordano, Linda J. Baer Hearing Site: New York, NY
| | $2,692,600 |
13-01753 | 12/10/2014 | Claimant(s): Annalisa Mendez, Billye Turner, Catherine Hamilton, Daniel O'Malley, David Rubin, Dawn Rubin, Deborah Crowell, Delphaine Smith, Edwin Sanford, Harvey Trammell, Horacio Mendez, James Hamilton, John Turberville, Kerry Rinehart, Larry Davis, Marilyene Davis, Michael Long, Pamela Meador, Peter Isaac, Richard Turner, et al Claimant Lawyers(s): Donald L. Ferguson, Michael E. Criden, Scott D. Hirsch Respondent(s): Pershing LLC Respondent Lawyers(s): Elizabeth F. Edwards Arbitrator(s): Jeffrey M. Aboloff, Karen Roberts Washington, Clark Willis Richards Hearing Site: Houston, TX
| | $0 |
13-01692 | 11/03/2014 | Claimant(s): Anita Carter, Bruce Smith, Charles Gruenwald Jr., Clyde Chisholm, Cynthia Dore, Don Landers, Fred Demarest, Gail Unglesby, George Forbes, Jason Graham, Jean Mayhall, Jerry Burris, Jessie Romig, John Wade, Jon Goeckel, Joseph Becker, Lynn Philippe, Mallory D'Amore, Mamie Baumann, Martha Witmer, et al Claimant Lawyers(s): Chuck Gordon, Crystal Burkhalter, John Grinton, Phillip Preis Respondent(s): Pershing LLC Respondent Lawyers(s): Elizabeth F. Edwards Arbitrator(s): Michele N. O'Brien, Brian P. Jakes, Mario Alberto Arteaga Hearing Site: New Orleans, LA
| | $10,000 |
09-07182 | 09/11/2013 | Claimant(s): Bernard Reznick, Betty Feurring, Brian Schmier, Brian Wynn, Bruce Bartley, Charles Marqusee, Douglas Feurring, Ellen Schmier, Emily Feurring, Helga Marqusee, Jamie Rosemurgy, Linda Schmier, Michal Utterback, Robert Schmier, Ross Feurring, Sam Lee, Sonya Utterback, Feurring Family Limited Partnership, 3 Schmiers Investment Trust LLC, Douglas R. Feurring Revocable Trust, et al Claimant Lawyers(s): Gary A. Praglin Respondent(s): Bruce Treitman, Christopher Frank, Deutsche Bank Securities., Henry Persons, Jon Javellana, Kenneth Ro Respondent Lawyers(s): Jason R. Lindsay, Mark Parmelee, Paul J. Schumacher, Toby Soli, William D. Briendel Arbitrator(s): James R. Duncan, Neil S. Jasper, Ralph B. Perry Hearing Site: Los Angeles, CA
| | $180,000 |
11-02777 | 06/28/2013 | Claimant(s): Anthony Miller, Arnold Ahonen, Barbara Jones, Barbara Smith, Beverly Griffits, Beverly Sisk, Brooke Walker, Carol Griffin, Carole Kurtz, Carolyn Smith, Cheryl Best, Christina Jaqua, David Anderson, David Bradshaw, David Kurtz, Dee Cook, Denise Marolda, Donald Cochran, Donald Thomas, Donna Devereux-Sherratt, et al Claimant Lawyers(s): Allen Kent, Anthony H. Miller, Arnold J. Ahonen, Ashley Hall, Babe Warren, Barbara J. Smith, Barbara Jones, Beverly Griffitts, Beverly Sisk, Brent Driskell, Brooke Walker, Carol Griffin, Carole Kurtz, Carolyn Smith, Charles G. Wood, Cheryl Best, Christina Jaqua, David H. Zuber, David Anderson, David Bradshaw, et al Respondent(s): Respondent Lawyers(s): Arbitrator(s): Paul E. Flora, Elwin Lawrence Saviet, Robert Kevin O'Mara Hearing Site: Tampa, FL
| | Expungement |
08-03782 | 05/10/2013 | Claimant(s): Alyce Johnson, Andrew Balistreri, Anita Robertson, Ann Solomon, Ardeth Ullman, Barbara Grant, Beulah Flood, Carmen Yaskewich, Carol Brochini, Cary Tremewan, Catherine Hanoum, Darlene Harris, David Hinkel, Diane Kinzli, Donald King, Doreen Elkins, Dorothy Jones, Duncan Grant, Ernest Kinzli, Frank Thomas, et al Claimant Lawyers(s): Patrick Baldwin Respondent(s): Ruthe Gomez, Financial Networks Group, NDX Trading., Traderight Securities. Respondent Lawyers(s): Christopher Nelson, Michael J. Rukujzo, Patrick Baldwin Arbitrator(s): James N. D'Orso, M. Scott Donahey, Rahul K. Surana Hearing Site: San Francisco, CA
| | $4,277,740 |
09-05843 | 05/02/2013 | Claimant(s): Beatrice Pigno, Carolyn Andre, Chia Liu, Chu Mein, Clifton Dufour, Cody Milton, David Stelly, Dolores Perry, Eric Pace, George Quartano, Gerald Perry, Jean Tsai, John Murphy, John Templet, Jung Lo, Lisa Dufour, Lola Stelly, Loleta Soloman, Marc Stelly, Pat Milton, et al Claimant Lawyers(s): Lance C. McCardle, W. Andrew Clayton Respondent(s): Respondent Lawyers(s): Arbitrator(s): Clayton J. Borne, Brian P. Jakes, Richard J. Clement Hearing Site: New Orleans, LA
| | Expungement |
10-05466 | 04/05/2013 | Claimant(s): Alice Soto, Betty Lee, Blair Brooksby, Curtis Alling, Curtis Sylvester-Jose, Curtis Webb, Darryl Morrison, David Campell, David Moy, Deborah Keyston, Evelyn Delcid, Francesca Brown, George Keyston, James Chew, James Weidinger, Jean Chew, Jeannette Chan, Jerry Rubelt, Kin Leong, Kirk Theis, et al Claimant Lawyers(s): Matthew K. Edling Respondent(s): Pacific West Financial Group, Pacific West Securities. Respondent Lawyers(s): Chance A.E. Hodges, Dennis J. Kelly Arbitrator(s): Marlyn G. McClaskey, Charles E. Farnsworth, Roberta R. Jeffrey Hearing Site: San Francisco, CA
| | $5,709,720 |
11-04331 | 03/07/2013 | Claimant(s): Dale Stamer, Dan Schroeder, Darla Severding, David Steinke, Dennis Tucker, Dianna Sheets, Don Severding, Donna Medinger, Grant Christianson, Jerry Hartnell, Julie Schroeder, Kirk Sims, Lori Baylor, Michael Stamer, Neil Case, Pat Tucker, Patricia O'Callaghan, Randy Kingery, Richard Beltz, Rita Beltz, et al Claimant Lawyers(s): Gail E. Boliver Respondent(s): Thomas Berthel, Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Cory D. Olson Arbitrator(s): Leo G. Stern, Thomas L. Dueber, Grant D. Sanders Hearing Site: Des Moines, IA
| | $0 |
09-06706 | 04/05/2012 | Claimant(s): Monica Boniadi, Robert Boniadi Claimant Lawyers(s): Erwin J. Shustak Respondent(s): David Vaughan, Debra Hansen, Donald Froude, Doreen Griffith, Gayle Parsons, Gregg Johnson, Ameriprise Financial Services., James Heeney, James Nagengast, Securities America., Kevin Miller, Kirk Hulett, Lamar Jones, Leon Johnson, Pamela Wertheim, Paul Huerter, Paul Lofties, Steven Mcwhorter, Terrance Dewald, Theresa James, et al Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward, Burton W. Wiand, Gregory S. Kaufman Arbitrator(s): Lester G. Stiel, Thomas J. Doherty, Mary Elizabeth Geerdes Hearing Site: San Diego, CA
| | Expungement |