| 10-03244 | 07/16/2015 | Claimant(s): Michael Hirsch, Robyn Hirsch, Hirsch, LLP
Claimant Lawyers(s): Mark D. Schwartz
Respondent(s): Securities America., Marc Scudillo
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): Elliot B. Platt, Edward Blumstein, Glenn J. Hansen
Hearing Site: Philadelphia, PA
|  | $552,693 |
| 12-02920 | 09/30/2013 | Claimant(s): Dora Davis
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Stephanie Hrycyk, Hrycyk Financial, LLP
Respondent Lawyers(s): David B. Dyer
Arbitrator(s): William L. Cravens, Harry J Saginaw, Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | Stipulated Award |
| 11-01330 | 07/01/2013 | Claimant(s): Nifly, LLP
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Sam Antar, Ellyn S. Roth, Dolores D. Balsamo
Hearing Site: New York, NY
| | $55,000 |
| 12-01423 | 06/27/2013 | Claimant(s): Ellen Gache, EBG Investments, LLP
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Levitt Capital Management
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Michael A. Levin, Perry Earl Phillips, Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | $0 |
| 09-06760 | 04/07/2011 | Claimant(s): Hathaway Family Holdings, LLP, David S.
Claimant Lawyers(s): John Flanders Kennedy
Respondent(s): Dearing Stone, Morgan Stanley
Respondent Lawyers(s): Hugo A. Hilgendorff, R Hal Meeks
Arbitrator(s): Robert N. Leitch, Susan S. Bentley, Gary J. Leshaw
Hearing Site: Atlanta, GA
| | Expungement |
| 09-04485 | 12/08/2010 | Claimant(s): Beverly Ginn, Russell Ginn, CVWT, LLP, Ginnwey Investments
Claimant Lawyers(s): Timothy M. McDaniel
Respondent(s): Alliance Bernstein, Bernstein Global Wealth Management, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Raymond C. Kerr, Joshua D. Wallach, Deirdre Renee Fuller
Hearing Site: Houston, TX
| | $200,000 |
| 08-00027 | 11/03/2009 | Claimant(s): Betty Strong, Genevieve Strong, Larry Porter, Rita Porter, William Strong, The Strong Company., Murray Claycomb and Jeanne Claycomb, The William A. Strong Family, LLP, The Strong Company. Profit Sharing, The Strong Company. Retirement Plan, Betty Jane Jones Char. Remainder UniTRT, Sarah Strong Guy Char. Remainder Trust, The William A. Strong GST Trust 11/19/97, The William A. Strong GST Trust II, William A. Strong, Jr. Trust, William Strong Charitable RemainUnitrust, William/Genevieve Strong Foundation TRT
Claimant Lawyers(s): Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Patrice L. Stewart, Angelia J. Tolbert, Elton W. Chartrand
Hearing Site: Little Rock, AR
| | $0 |
| 08-00083 | 06/13/2008 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Edward W. Larkin
Respondent(s): Arbco Capital Management, LLP
Respondent Lawyers(s): Hayim Regensberg
Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Joan Seewald Brodsky
Hearing Site: New York, NY
| | $1,322,100 |
| 06-04822 | 02/29/2008 | Claimant(s): Neal Winberg, Shelley Winberg, Winberg Family Partnership, LLP, Winberg Family Char. Remainder Trust
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Debra Silversmith, Donald Silversmith, Omnivest.
Respondent Lawyers(s): Russell K. Bean, William D. Nelson
Arbitrator(s): Jeffrey M. Bain, Richard M. Duxbury, David K. Schaal
Hearing Site: Omaha, NE
| | $307,717 |
| 05-04113 | 02/22/2008 | Claimant(s): Steven and R. Alex Smith
Claimant Lawyers(s): Lee B. Rowell
Respondent(s): Putnam Retail Management, LLP
Respondent Lawyers(s): Andrew J. Hachey
Arbitrator(s): Eric Spencer Buchanan
Hearing Site: Jackson, MS
| | $0 |
