| 18-04007 | 11/07/2019 | Claimant(s): Waltraud Greathouse
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Kenneth Barroga, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
|  | $160,097 |
| 17-03412 | 11/07/2019 | Claimant(s): Lawrence Freedman, Mary Freedman
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Amy S. Rubin
Arbitrator(s): Elena G. Rodriguez, Peter A. Roche, Gary Mathew Singer
Hearing Site: Boca Raton, FL
| | $0 |
| 18-00264 | 11/07/2019 | Claimant(s): Guillermo Castro
Claimant Lawyers(s): Michael S. Taafe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Leslie L. Cooney, Will Murphy, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206/12504 |
| 18-02071 | 11/07/2019 | Claimant(s): Rivette Family Trusts
Claimant Lawyers(s): Douglas W. Oldfield
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Kathryn J. Toronto, Gary Kostow, Ranjani Mohana
Hearing Site: San Francisco, CA
| | $0 |
| 16-03072 | 11/06/2019 | Claimant(s): Michael Pallotta, Neil Marcus, Neil J. Marcus, Trustee for the, Arthur C. Licchillo U/A dtd 11/5/97
Claimant Lawyers(s): Charles C. Mihalek, Stephen S. Stallings
Respondent(s): Ross, Sinclaire & Associates
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Steven Gerard Goerke, S. Ronald Daniels, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
| | $2,110,540 |
| 17-02942 | 11/06/2019 | Claimant(s): Jerome Weiner, Sandra Weiner
Claimant Lawyers(s): Jerome Weiner
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Jim Geiger, Alan J. Blocher, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
| | $0 |
| 18-02759 | 11/06/2019 | Claimant(s): Elizabeth Alvarez-Orozco, Michael Orozco
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Louis David Huss
Hearing Site: Miami, FL
| | $0 |
| 19-00178 | 11/05/2019 | Claimant(s): Margaret Mary Felix
Claimant Lawyers(s): Ian A Taylor
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Diane Ciccone, Gregory J. Spadea, Carrie L. Chelko
Hearing Site: Philadelphia, PA
| | $0 |
| 18-00543 | 11/04/2019 | Claimant(s): Paula Adams
Claimant Lawyers(s): Mark S. Fryman
Respondent(s): UBS Financial Services Inc., Mark Katz
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Brian James Tagtmeier, Daniel L. Fulkerson, Jeffrey Bruce Bock
Hearing Site: Houston, TX
| | $497,620 |
| 18-01457 | 11/01/2019 | Claimant(s): Elizabeth Jachles
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): John C. Aten, William Joseph Caprathe, Gary E Vickers
Hearing Site: Buffalo, NY
| | $0 |
