| 12-01721 | 04/20/2015 | Claimant(s): Ronald Delmonico, Ronald G. Delmonico, IRA
Claimant Lawyers(s): Vito C. DeMaio
Respondent(s): Anastasios Belesis, Ronald Cantalupo, John Thomas Financial
Respondent Lawyers(s): Anastasios Belesis, Maria Cummings, Ronald Vincent Cantalupo
Arbitrator(s): Francis J. Pavetti, Robert L. Chase, Charles W. Danis
Hearing Site: Hartford, CT
|  | Stipulated Award |
| 13-03337 | 02/25/2015 | Claimant(s): Nicholas Custer, Nicholas R. Custer, IRA
Claimant Lawyers(s): Susan E. Fisher
Respondent(s): Leslie Goldstein, Robert Hart, Sigma Financial Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Samuel B. Garber
Hearing Site: Chicago, IL
| | $600 |
| 14-01833 | 02/02/2015 | Claimant(s): Martha Peters, Martha Jo Peters, IRA
Claimant Lawyers(s): Martha Jo Peters
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Mack E. McCain
Arbitrator(s): Sandra L. Malek, Alan Stamm, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 14-00486 | 10/30/2014 | Claimant(s): Jeffrey W. Miller, IRA
Claimant Lawyers(s): Jeffrey W. Miller
Respondent(s): Camille Tavares, Pershing LLC, Robert Michael, Thomas Phillips, First Allied Securities.
Respondent Lawyers(s): Anne K. Yannakakis, Jane Myers
Arbitrator(s): Benjamin B. Segel
Hearing Site: Cincinnati, OH
| | $0 |
| 13-03376 | 10/02/2014 | Claimant(s): Karen Newbery, IRA
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Stifel, Nicolaus & Co.., James Culver
Respondent Lawyers(s): James Browning, Keith M. Lahay
Arbitrator(s): Charles D. Underwood
Hearing Site: Columbus, OH
| | $0 |
| 13-03482 | 09/18/2014 | Claimant(s): Gerald Kreimeyer, Gerald K. Kreimeyer, IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Mark R. Topper, Thomas Joseph Atkinson, Anthony Richard Sanchez
Hearing Site: Orlando, FL
| | Expungement |
| 12-01806 | 06/25/2014 | Claimant(s): Frank J. Ferruggia IRA, Virginia A. Ferruggia, IRA, Frank J. and Virginia A. Ferruggia, JNT
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Alan Chodosh, Craig Nomberg, David Lerner Associates., David Lerner, John Dempsey, Martin Lerner, Martin Walcoe, Steven Sormani
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Bernard M. Levine, Michael A. Ruderman, Richard Lewis Zack
Hearing Site: Newark, NJ
| | $260,000 |
| 12-00268 | 06/06/2014 | Claimant(s): Alan Stephen, Anthony Cowan, Elling Halvorson, Jennifer Cowan, Jon Michael Smith, Rachel Smith, Scott Tomy, Stacie Gorder, Steve Gorder, Jon-Michael P Smith, IRA
Claimant Lawyers(s): John J. Tollefsen
Respondent(s): Richard Finger, Black Diamond Securities LLC, Interactive Brokers LLC
Respondent Lawyers(s): Joseph S. Owens, Richard Allan Finger, Robert W. Topp
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Todd A. Bloom
Hearing Site: Seattle, WA
| | $100,000 |
| 12-00159 | 05/23/2014 | Claimant(s): Jessica Clarke, IRA
Claimant Lawyers(s): Joseph Peiffer
Respondent(s): Fred Brister III, Hilary Zimmerman, Morgan Stanley, Morgan Stanley & Co., Steven Wyatt
Respondent Lawyers(s): George C. Freeman, Joseph C. Coates
Arbitrator(s): Gloria J Liddell, Fred M. Ridolphi, Kenneth W. Shelley
Hearing Site: Jackson, MS
| | $150,600 |
| 12-02762 | 02/21/2014 | Claimant(s): Sandra J. Smith, IRA
Claimant Lawyers(s): Jahan K Manasseh
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Allan Weiss
Hearing Site: Nashville, TN
| | Expungement |
