19-01297 | 02/20/2020 | Claimant(s): Kristen Harnage Claimant Lawyers(s): Etan E Rosen Respondent(s): Jeromy Pierroz, Scott Andersen Respondent Lawyers(s): Michael J. Margosian, Peter R. Boutin Arbitrator(s): David I. Levine, Ronald Chun, Michael Robert Addison Hearing Site: San Francisco, CA
| | $0 |
18-03754 | 02/19/2020 | Claimant(s): David and Linda Watts JTWROS Claimant Lawyers(s): Mitchell H. Cobert Respondent(s): Brian Wurdemann, Morgan Stanley, UBS Financial Services Inc. Respondent Lawyers(s): Adam Kauff, Anthony J. Borrelli, Brian M. Wurdemann Arbitrator(s): Philip Levine, Catherine Stewart, Bryan David Glass Hearing Site: Newark, NJ
| | $175,000 |
18-04019 | 02/18/2020 | Claimant(s): Carolyn Smith, Charles Gibson, Courtney Watson, Dana McElveen, David McElveen, Edwin Batiz, John Watson, Joyce Bedsole, Kenneth Roberts, Mary Jo Kearfott, Michael Kogutt, Paul Smith, Randy Kogutt, Robert Burns, Samuel Kogutt, Thomas Towne, Travis Bedsole, Virginia Scherer, English Garden LLC, Estate of Lawrence Lester, Bobby E. Sapp IRA, Carol I. Bordok IRA, James A. Windom IRA, James Thannum IRA, Stanley McMorris IRA, Thomas Carter Towne IRA, Travis Bedsole IRA, W. Hibbett Neel IRA, Dr. Eric Lewis, Tte for Southwest Center, Thannum Revocable Living Trust, Thomas & Virginia Scherer Credit Shelter Claimant Lawyers(s): Donald L. Ferguson, Scott D. Hirsch Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): William L. Cravens, Frances Johnson Wright, James W. Kerr Hearing Site: Dallas, TX
| | $5,645,370 |
18-04121 | 02/18/2020 | Claimant(s): Rosemary Lanzo Claimant Lawyers(s): Michael J. Betts Respondent(s): John Lisowski, Stifel, Nicolaus & Co.. Respondent Lawyers(s): Stanley Yorsz Arbitrator(s): Barry Goldman, Michael S. Berman, John Joseph Neely Hearing Site: Pittsburgh, PA
| | $500,000 |
18-03143 | 02/18/2020 | Claimant(s): Dhavid Cooper, Guy Hodgson, Custodian for Dylan Hodgson, Custodian for Hunter Hodgson, Custodian for Matthew Hodgson Claimant Lawyers(s): Leon H. Horne Respondent(s): John Durig, Durig Capital Inc. Respondent Lawyers(s): Justin C. Sawyer Arbitrator(s): Donald K. Eckhardt, Jacqueline R. Fox, Jeffrey Bruce Bock Hearing Site: Houston, TX
| | $0 |
19-01955 | 02/14/2020 | Claimant(s): Tommy Dewitt Claimant Lawyers(s): Jennifer Tarr Respondent(s): Brent Porges, David Cannata, Craig Scott Capital Respondent Lawyers(s): Brent Morgan Porges, Craig Taddonio, David Charles Cannata Arbitrator(s): Gregory Hunter Mathews Hearing Site: Richmond, VA
| | $50,000 |
19-02918 | 02/14/2020 | Claimant(s): Vedran Pogacnik Claimant Lawyers(s): Vedran Pogacnik Respondent(s): TD Ameritrade. Respondent Lawyers(s): Amanda Wright Arbitrator(s): John J. Flynn Hearing Site: San Francisco, CA
| | $25 |
19-03091 | 02/14/2020 | Claimant(s): Ustocktrade Securities. Claimant Lawyers(s): Francesco Matteini Respondent(s): Suman Kandel Respondent Lawyers(s): Suman Kandel Arbitrator(s): Arthur H. Geffen Hearing Site: Dallas, TX
| | $6,575 |
18-04126 | 02/13/2020 | Claimant(s): Jeffrey Walter Claimant Lawyers(s): James L Kauffman Respondent(s): Cambridge Investment Research., Equity Concepts Respondent Lawyers(s): Todd Ratner Arbitrator(s): Michael J. Henke, Carl F. Bowmer, Javier Andres Colon Volgamore Hearing Site: Richmond, VA
| | $0 |
19-01097 | 02/13/2020 | Claimant(s): Thomas Howes Claimant Lawyers(s): Thomas W. Howes Respondent(s): Alexys Mckenzie, Janet Bentley-Ewers, Joquinn Sadler, Raymond, James & Associates., IFS Securities Respondent Lawyers(s): Brandy N. Pikus, Richard E. Brodsky Arbitrator(s): Steven R. Bralove, Joyce A. Mitchell, Barbara Hill Bink Hearing Site: Washington, DC
| | Dismissed by Rule 12206/12504 |