| 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 |
| 13-00041 | 08/05/2014 | Claimant(s): Eubulus Kerr
Claimant Lawyers(s): Gabrielle J. Pretto
Respondent(s): Anastasios Belesis, Brian Roth, George Belesis, Joseph Castellano, Michele Misiti, Peter Viglione, John Thomas Financial
Respondent Lawyers(s): Brian Roth, Dan A. Druz, Peter Viglione
Arbitrator(s): Kendall P. Hill, James E. Bolin, John J. Meyer
Hearing Site: New Orleans, LA
| | $920,110 |
| 13-03334 | 07/29/2014 | Claimant(s): Estate of Dudley D. Martens
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Jerry McCutchen, Next Financial Group.
Respondent Lawyers(s): William F. Ray
Arbitrator(s): R. Lee Britton Jr., Lynne R. Stern, Daniel Patrick Hurley
Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |
| 13-00717 | 06/13/2014 | Claimant(s): Naveed Malik, Sadaf Malik
Claimant Lawyers(s): James T. Tran, Jessica Vasquez
Respondent(s): Andrew Black, Morgan Stanley, Michael Gagliardi
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Robert R. Wolf, Jeffrey R. Jury, Stephen Edgar Eisenbraun
Hearing Site: New Orleans, LA
| | $0 |
| 11-04259 | 05/13/2014 | Claimant(s): Patricia Williams
Claimant Lawyers(s): T. Jay Seale
Respondent(s): Ameriprise Financial Services., Jeanine Cazaubon
Respondent Lawyers(s): Susan Sheely
Arbitrator(s): Michele N. O'Brien, Eric M. Schorr
Hearing Site: New Orleans, LA
| | Expungement |
| 13-02315 | 03/19/2014 | Claimant(s): Sydney Crackower
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): NFP Securities.
Respondent Lawyers(s): Robin Crowin Campbell
Arbitrator(s): Donald Milo Helton
Hearing Site: New Orleans, LA
| | $300 |
| 11-04191 | 02/26/2014 | Claimant(s): John McGregor
Claimant Lawyers(s): Adam M. Green
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Steve R. Neuman, Michele N. O'Brien, Michael Thomas Tusa
Hearing Site: New Orleans, LA
| | Expungement |
| 11-04247 | 01/10/2014 | Claimant(s): Scott Stephens, Tanya Stephens, S.Stephens next friend Conner Stephens, Wilbert J. Stephens, Jr Testamentary, Jr. Testamentary
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Philip P. Rummel, Walter J. Wylie, Richard Djokic
Hearing Site: New Orleans, LA
| | $290,999 |
| 13-00872 | 10/29/2013 | Claimant(s): Loresa C. Bell, IRA
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Niel Prosser
Arbitrator(s): Paul D. Gutierrez
Hearing Site: New Orleans, LA
| | $20,659 |
| 11-03309 | 10/04/2013 | Claimant(s): Kim Collins
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Randall W Heinrich
Hearing Site: New Orleans, LA
| | $0 |
