| 18-04115 | 01/02/2020 | Claimant(s): The Lorraine B. Trust 'B', The Wheeler H. Hess Jr Irrevocable Trust
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Merrill Lynch, Pierce, Fenner Inc
Respondent Lawyers(s): Keith S. Olin
Arbitrator(s): Gilbert A. Schnirman, Will Murphy, David Rich
Hearing Site: Boca Raton, FL
|  | $25,739 |
| 17-02810 | 12/30/2019 | Claimant(s): John Rossum
Claimant Lawyers(s): Melinda J. Steuer
Respondent(s): Bradley Gardner, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Amir Tadjedin, Christopher A. Stecher
Arbitrator(s): Ralph A. Cotton, Philip Aaron Tymon, Norman Dale Menegat
Hearing Site: San Francisco, CA
| | Settlement |
| 19-01860 | 12/30/2019 | Claimant(s): Larry Longhi
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): James Ray
Respondent Lawyers(s): James William Ray
Arbitrator(s): Nicholas John Taldone, Gayle B. Carlson, Isaac D. East
Hearing Site: Jacksonville, FL
| | $159,300 |
| 19-01881 | 12/27/2019 | Claimant(s): Michael Rowan IRA
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Adam Morsi, Michael Guilfoyle, Legend Securities.
Respondent Lawyers(s): Hisham Hamed, Michael Nicholas Guilfoyle, Salvatore Caruso
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $36,000 |
| 19-01147 | 12/27/2019 | Claimant(s): O'Donnell Family Limited Partnership
Claimant Lawyers(s): Craig O'Donnell
Respondent(s): Eric Rubenstein, Steven Kolinsky
Respondent Lawyers(s): Richard A. Roth, Steven Ira Kolinsky
Arbitrator(s): Perry Earl Phillips
Hearing Site: Boca Raton, FL
| | $0 |
| 18-02022 | 12/26/2019 | Claimant(s): John Seltzer
Claimant Lawyers(s): Bruce Sanders
Respondent(s): Edwin Bartlett, Merrill Lynch Pierce Fenner & Smith Inc., Ryan Marchi
Respondent Lawyers(s): Tanya S. Lambrechts
Arbitrator(s): Harry G. Mason
Hearing Site: Raleigh, NC
| | $0 |
| 17-02559 | 12/24/2019 | Claimant(s): Robert Liggett, Victoria Liggett, Liggett Investments LLC, Liggett Ventures LLC, Robert G. Liggett, Jr., Custodian, Victoria L. Liggett, Trustee
Claimant Lawyers(s): Dennis J. Levasseur
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Timothy J. Currier, Barry Goldman, Betty R. Widgeon
Hearing Site: Detroit, MI
| | Settlement |
| 18-01399 | 12/24/2019 | Claimant(s): Michele Schultz, Michele C. Schultz Family Living Trust
Claimant Lawyers(s): David Neuman
Respondent(s): Jerry Guttman
Respondent Lawyers(s): Gregory T. Everts
Arbitrator(s): Richard D. Fincher, Frank R. Mead, Patrick Irvine
Hearing Site: Phoenix, AZ
| | Stipulated Award |
| 18-02098 | 12/24/2019 | Claimant(s): John E. Donaldson Investments
Claimant Lawyers(s): Jeffrey S. Eisenberg
Respondent(s): Craig Taddonio, John Stapleton, Craig Scott Capital
Respondent Lawyers(s): Brian J. Davis, Craig Scott Taddonio, Craig Taddonio
Arbitrator(s): Bill Lamoreaux, Mark C Watler, Robert L. Chisolm
Hearing Site: Oklahoma City, OK
| | $0 |
| 18-03962 | 12/24/2019 | Claimant(s): The Ilgvars J. Zallaps Family Trust
Claimant Lawyers(s): Steve A. Miller
Respondent(s): Garner Mabry, Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc., Todd Schwartz, Schwartz Mabry Private Wealth Advisory
Respondent Lawyers(s): Bruce W. Day, Julie E. Ravis, William D. Nelson
Arbitrator(s): Jo-Marie Lisa, Baldwin Ranson, Tina Alison Davis
Hearing Site: Denver, CO
| | Dismissed by Rule 12206/12504 |
