| 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 |
