| 19-00144 | 11/25/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Terence Daniels
Respondent Lawyers(s): Terence Daniels
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
|  | $86,081 |
| 18-04187 | 11/22/2019 | Claimant(s): Ann Berger, Eric Berger
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Arthur B. O'Connell, Joseph J. Dougherty, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
| 18-03187 | 11/21/2019 | Claimant(s): Ann Ginsberg, Gene Ginsberg, Gene H. Ginsberg & Ann R. Ginsberg Trust
Claimant Lawyers(s): David A Conti
Respondent(s): Stifel, Nicolaus & Co.., Lawrence Delhagen, Michael O'Keefe
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Mark H. Stein, Patrick R. Westerkamp, Gerard Thompson
Hearing Site: Philadelphia, PA
| | $0 |
| 18-02242 | 11/20/2019 | Claimant(s): Donna Hosking, Dorene Stoffels, James Stoffels
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Forest Securities.
Respondent Lawyers(s): Christopher Wurtzinger
Arbitrator(s): Michael F. Jordan, Leonard G Leverson, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | $121,746 |
| 15-01143 | 11/20/2019 | Claimant(s): The Estate of Carl G. Kline
Claimant Lawyers(s): Rebecca Davies
Respondent(s): Marc Greenberg
Respondent Lawyers(s): Marc Greenberg
Arbitrator(s): Epaminondas Eddie Manelis, Edward Louis Koven, Darlene L. Redmond
Hearing Site: Chicago, IL
| | Expungement |
| 17-02617 | 11/20/2019 | Claimant(s): Kevin Rouse
Claimant Lawyers(s): Kevin Rouse
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Alain Frecon, Mary Louise Hilfiker, Robert Meredith Altman-Segal
Hearing Site: Minneapolis, MN
| | Rule 12504(b) |
| 17-03381 | 11/19/2019 | Claimant(s): J. Kirby Fowler, Patrica Fowler, J. Kirby & Patricia O. Fowler Irr. Trust
Claimant Lawyers(s): Michael W. Starr
Respondent(s): John McGinty, AXA Advisors
Respondent Lawyers(s): Cheryl Howard, Dennis Dice
Arbitrator(s): James M. Rhodes, Bryan David Glass
Hearing Site: Newark, NJ
| | $0 |
| 19-01053 | 11/18/2019 | Claimant(s): Tastyworks.
Claimant Lawyers(s): John Muldoon
Respondent(s): CC Research
Respondent Lawyers(s): Joseph Koroki
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
| | $37,392 |
| 19-01304 | 11/18/2019 | Claimant(s): Elizabeth Katen, Philip Katen, Ryan Katen, Timothy Katen
Claimant Lawyers(s): Robert H. Rex
Respondent(s): The Tidal Group.
Respondent Lawyers(s): Greg Weselka
Arbitrator(s): Gregory P. Szuter, Daniel G. Zeiser, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | Dismissed by Rule 12206/12504 |
| 18-02418 | 11/15/2019 | Claimant(s): Steven Bender
Claimant Lawyers(s): Steven L. Bender
Respondent(s): Dominick & Dickerman LLC
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Keely D. Parr, Anna Lascar, John Warner Lowe
Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
