| 19-01425 | 12/17/2019 | Claimant(s): Anna Shursen, IRA, James Higbee
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Bobby James, SCF Securities.
Respondent Lawyers(s): Gary S. Kessler, Jacob Brian Kring
Arbitrator(s): Louis J. Weber, Robert J. Gregory, Larry Adair
Hearing Site: Dallas, TX
|  | Dismissed by Rule 12206/12504 |
| 19-01900 | 12/17/2019 | Claimant(s): Bonnie Taylor
Claimant Lawyers(s): Bonnie June Taylor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Jerry D. McCormack, David J. Hase, Jessica Gibson
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206/12504 |
| 18-02673 | 12/16/2019 | Claimant(s): Linda Stanley, Sheena Gillespie, Estate of Mary Bryce, Linda Stanley Liv. Trust, Mary Bryce Trust, Sheena Gillespie Liv. Trust
Claimant Lawyers(s): Bradford M Gucciardo
Respondent(s): Dean DiMaggio, Rachel Pino, Sandy Siff, Sean Mohammadi, Halliday Financial, Lincoln Investment
Respondent Lawyers(s): David S. Sheiffer, Jessica Levine
Arbitrator(s): Judith Fields Jurney, Jay Alan Kranis, Steven Gary Leventhal
Hearing Site: New York, NY
| | $0 |
| 17-03324 | 12/13/2019 | Claimant(s): Ilir Hasani, Ivana Vanacova, Gresa USA LLC (Hasani & Vanacova)
Claimant Lawyers(s): Lee Holland
Respondent(s): Matthew Warshaw, Merrill Lynch Pierce Fenner & Smith Inc., Michael Wasserman
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Ronald L. Cheney, Susan E. Maloney, Denise L. Presley
Hearing Site: Boston, MA
| | $0 |
| 18-04133 | 12/12/2019 | Claimant(s): James Walter
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Carl F. Bowmer, Marcus G. Lashley, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 18-04374 | 12/11/2019 | Claimant(s): Jack Harvey, Jeannie Kaess
Claimant Lawyers(s): Jeannie Kaess
Respondent(s): Edwin Balmer, Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | $0 |
| 19-01994 | 12/11/2019 | Claimant(s): Elizabeth DeZeeuw., Steven DeZeeuw
Claimant Lawyers(s): Steven DeZeeuw
Respondent(s): Ameriprise Financial Services., Mitchell Black
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Bruce Keplinger
Hearing Site: Kansas City, MO
| | $450 |
| 16-01714 | 12/09/2019 | Claimant(s): Claude Asiane
Claimant Lawyers(s): Claude Asiane
Respondent(s): Michael Rapley, Andrew Garrett Inc.
Respondent Lawyers(s): Barry Bordetsky
Arbitrator(s): Ann C. Northern, James M. Rhodes, Katherine Cooper
Hearing Site: New York, NY
| | Dismissed |
| 18-00266 | 12/09/2019 | Claimant(s): Harold Merchant
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Leonel Peraza
Arbitrator(s): Will Murphy, Laurence V. Senn, Thomas W. Allen
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206/12504 |
| 18-03769 | 12/06/2019 | Claimant(s): Paul Houle
Claimant Lawyers(s): Lars Soreide
Respondent(s): IBN Financial Services.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206/12504 |
