| 18-00118 | 11/05/2021 | Claimant(s): Amy Hourigan, Glenn Hourigan, IRA FBO Amy R. Hourigan, IRA FBO Glenn K. Hourigan
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Robert Ginsberg, Cetera Advisors LLC, Investors Capital Corp., Ginsberg Financial Advising
Respondent Lawyers(s): Brian J. Palmeri, Kate Digeronimo
Arbitrator(s): Mae A. Brudner, Eileen Devaney Leo, Charles W. Danis
Hearing Site: Hartford, CT
|  | Stipulated Award |
| 15-03238 | 12/13/2018 | Claimant(s): David Caidar, David Caidar Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Elliott D. Finkel, Constance Ellen Boukidis, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | $32,710 |
| 16-02661 | 04/02/2018 | Claimant(s): Elaine Peconi, The Elaine Peconi Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Mary M. O'Neil, Natalie Panossian-Bassler, Stephen Mack
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-02594 | 02/23/2018 | Claimant(s): Carol Rizzo
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Brian G. Mooney, Nicholas John Taldone, Ian S. Greig
Hearing Site: Tampa, FL
| | $0 |
| 16-01338 | 10/24/2017 | Claimant(s): John Hazlip
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Lynn Hirschfeld Brahin, Karen Yvonne Preston, Belinda M. Ohlinger
Hearing Site: Columbus, OH
| | Expungement |
| 16-00677 | 03/27/2017 | Claimant(s): Ruby Maddox
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates., Kathleen Tarr
Respondent Lawyers(s): G. Thomas Fleming, Paul W. Thomas
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-00770 | 03/06/2017 | Claimant(s): Michael Freese
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Waveland Capital Partners LLC
Respondent Lawyers(s): Brett G. Evans
Arbitrator(s): Thomas F. Mahoney, Arthur Richard Tow, Mark A. Frankel
Hearing Site: Des Moines, IA
| | $70,000 |
| 12-03721 | 02/10/2016 | Claimant(s): Diane Ford, Diane Savone, Iris Simmons, Janine Maxfield, Martha Nelson, Rita Wuelfing, Sylvia Reed
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Martin Olinick, Ronald L. Cameron, Michael D. Harrison
Hearing Site: Los Angeles, CA
| | $597,295 |
| 13-02150 | 07/15/2015 | Claimant(s): Henry Mora, Lionel Gonzalez, Michele Lewis
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Thomas Fleming
Arbitrator(s): Jeffrey M. Allen, Debra Brothers Self, Byron L. Dare
Hearing Site: San Francisco, CA
| | $1,401,700 |
| 13-02460 | 02/13/2015 | Claimant(s): Rose LaBolle
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Christopher Tovar
Arbitrator(s): Jeffry M. Bauer, Edward A. Porter, Peter C. Rageas
Hearing Site: Detroit, MI
| | $299,858 |
