| 18-03863 | 12/06/2019 | Claimant(s): David Maturi
Claimant Lawyers(s): Jorge M. Altamirano
Respondent(s): L.O. Thomas & Co. Inc.
Respondent Lawyers(s): Marc S. Gottlieb
Arbitrator(s): Diane Ciccone, Carol H. Gold, Mark H. Stein
Hearing Site: Philadelphia, PA
|  | $0 |
| 19-00691 | 12/04/2019 | Claimant(s): Bonnie Hatten, Karen Robinson, Richard Bloom, Richard Hatten, Bloom Energy., BB Cove
Claimant Lawyers(s): Michael A. Rollin
Respondent(s): Gregory Williams, Presidential Brokerage.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Tina Alison Davis, Brian Luther, Nicholas Jay Dale
Hearing Site: Denver, CO
| | $45,818 |
| 18-04079 | 12/03/2019 | Claimant(s): David Taylor, Kay Taylor
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowther
Arbitrator(s): Langdon T. Owen, Thomas R. Dreiling, Mark Lee Haggard
Hearing Site: Boise, ID
| | $0 |
| 19-00026 | 11/29/2019 | Claimant(s): Sabine Miller
Claimant Lawyers(s): D. Daxton White
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Marcia Bonita Gevers
Hearing Site: Chicago, IL
| | $71,225 |
| 19-00776 | 11/27/2019 | Claimant(s): Joanne Colgan, Thomas Colgan
Claimant Lawyers(s): Teresa J. Verges
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Mark G. Materna
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | $0 |
| 18-00822 | 11/26/2019 | Claimant(s): Barbara DeMary, Joseph Ehritz, Lee DeMary, Leo Mazotas, Marianne Ehritz, Michael Simmons, Sid Haffener
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co.., Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): Gregory M. Scanlon, James J. Vihstadt
Arbitrator(s): Sidney J. Wartel, Denise Morris Hammond, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
| | $0 |
| 19-00227 | 11/26/2019 | Claimant(s): Ethan Ruby
Claimant Lawyers(s): Ethan E Ruby
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Helm Wright
Arbitrator(s): Anna M. Fanelli, Veera V. Konka, Angela Lourdes Ortiz
Hearing Site: New York, NY
| | $0 |
| 18-02391 | 11/25/2019 | Claimant(s): Iraida Nigaglioni
Claimant Lawyers(s): Eric Quetglas Jordan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Daniel R. Korb, Roberto C. Quinones
Arbitrator(s): Eric Spencer Buchanan, Robert Stewart Barney, Magda M. Fernandez Torres
Hearing Site: San Juan, PR
| | $215,738 |
| 18-03249 | 11/25/2019 | Claimant(s): Brian Toon, Joseph Sperber, Phyllis Schreiner, Ronda Montgomery
Claimant Lawyers(s): Joseph J. Sperber
Respondent(s): TD Ameritrade., E*Trade Securities LLC
Respondent Lawyers(s): James J. Vihstadt, Meredith Hoffman
Arbitrator(s): Ellen F. Kandell, Joseph J. Dougherty, Gerald S. Smith
Hearing Site: Baltimore, MD
| | $0 |
| 18-03853 | 11/25/2019 | Claimant(s): John Winans
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Michael Fassi, Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Holly Stein Sollod, Donald N. Tolin, Eric Moutz
Hearing Site: Denver, CO
| | $0 |
