17-00463 | 01/20/2020 | Claimant(s): Shahida Hossain Claimant Lawyers(s): Nicholas P. Iavarone Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Lindsay Wuller Arbitrator(s): Ray J. Grzebielski, Robert J. Larson, Elizabeth C. Burton Hearing Site: Chicago, IL
| | $0 |
18-02583 | 01/15/2020 | Claimant(s): Aneita Doering Claimant Lawyers(s): Todd Neuman Respondent(s): Gregory Coffing, Edward Jones Respondent Lawyers(s): Todd A. Holleman Arbitrator(s): Susanne J. Hollander, Karen Yvonne Preston, Erwin John Dugasz Hearing Site: Columbus, OH
| | $0 |
17-02422 | 01/14/2020 | Claimant(s): Delores Trupiano, Philip Trupiano, Delores R. Trupiano Rev. Trust, Philip J. Trupiano Rev. Trust Claimant Lawyers(s): Nicholas J. Guiliano Respondent(s): Beth Debouvre, Christopher Gammon, Kim Kopacka, Timothy Kopacka, IMS Securities. Respondent Lawyers(s): Beth Ann Debouvre, Jackie Wadsworth, Joseph Suarez, Kim Kahala Kopacka, Timothy James Kopacka Arbitrator(s): Robert H. Putnam, Harvey R. Linder, Harry G. Mason Hearing Site: Columbia, SC
| | $0 |
19-00592 | 01/14/2020 | Claimant(s): Bryan Parker, Jessica Valentine, Parker Family Trust Claimant Lawyers(s): Joseph R. Marrs Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Carlos E. Provencio Arbitrator(s): Lynne M. Gomez, Robert C. Rice, Stephen Andrew McCarthy Hearing Site: Houston, TX
| | $0 |
14-03857 | 01/13/2020 | Claimant(s): Charlotte B. Milliner SEP IRA, Charlotte B Milliner Trust dtd 1/30/1997 Claimant Lawyers(s): David Sturgeon-Garcia Respondent(s): Mary Evans, Thomas Bock Respondent Lawyers(s): Frances Menzer Arbitrator(s): Herbert Liberman, Donald H. Korn, Shawn Ridgell Hearing Site: San Francisco, CA
| | $773,527 |
19-02110 | 01/13/2020 | Claimant(s): Holly Kwon Claimant Lawyers(s): Holly H. Kwon Respondent(s): Jaehwan Kim, Yong Kim Respondent Lawyers(s): Jaehwan Kim, Yong Soo Kim Arbitrator(s): Morris S. Getzels Hearing Site: Los Angeles, CA
| | $12,757 |
19-02636 | 01/13/2020 | Claimant(s): Sharon Loxton Claimant Lawyers(s): Sharon P. Loxton Respondent(s): Ameriprise Financial Services., John Lynch Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Michael S. Jordan Hearing Site: Milwaukee, WI
| | $3,775 |
17-01038 | 01/10/2020 | Claimant(s): Adelle Abdallah, Soraya Abdallah Claimant Lawyers(s): Matthew J. Tuttle Respondent(s): FMSBonds. Respondent Lawyers(s): Sydney A. Marks Arbitrator(s): Ronald L. Cheney, B. John Dill, David B. Beizer Hearing Site: Boston, MA
| | $455,000 |
18-01953 | 01/10/2020 | Claimant(s): Brian Sepe, Dawn Sepe Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Mary Gail Gearns Arbitrator(s): Steven Gerard Goerke, Michael A. Levin, Gary Mathew Singer Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206/12504 |
18-02471 | 01/10/2020 | Claimant(s): Margaret Bidgood Claimant Lawyers(s): Jon A. Jacobson Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Anthony L. Valenzuela Arbitrator(s): Barth Satuloff, Leonard Michael Cusano, Edward Alexander Jaffe Hearing Site: Boca Raton, FL
| | $0 |