| 19-01226 | 10/24/2019 | Claimant(s): Billie Nelson
Claimant Lawyers(s): Billie Barbara Nelson
Respondent(s): Michael Self
Respondent Lawyers(s): T. J. Mitchell
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
|  | $0 |
| 19-01356 | 10/23/2019 | Claimant(s): Hans Brost, Cabo FTL Systems, LC
Claimant Lawyers(s): Hans Brost
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 18-03033 | 10/18/2019 | Claimant(s): Paul Leyder
Claimant Lawyers(s): Darryl Bouganim
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Richard W. Vallario, Fred S. Pieroni, Francis Carling
Hearing Site: New York, NY
| | $270,329 |
| 19-01474 | 10/18/2019 | Claimant(s): Al Zvinakis as FPOA for Regina Zvinakis
Claimant Lawyers(s): Al Zvinakis
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | $0 |
| 18-02895 | 10/16/2019 | Claimant(s): Anne Marie Fargason, Evelyn Chiasson
Claimant Lawyers(s): Frank "Kim" Breese
Respondent(s): Andrew Black, Morgan Stanley & Co.
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Frank M Romano, Bertrand C. Moser, Allan R. Lazor
Hearing Site: New Orleans, LA
| | $109,323 |
| 18-02939 | 10/16/2019 | Claimant(s): Barry Andrew Zeeman Rev. Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Leslie L. Cooney, Gloria F. Katz, Joseph Benalt
Hearing Site: Boca Raton, FL
| | $0 |
| 18-04114 | 10/16/2019 | Claimant(s): Susan Valentine
Claimant Lawyers(s): Susan M. Valentine
Respondent(s): Michael Sabo, Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus, Foster S. Goldman
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | $0 |
| 19-00024 | 10/16/2019 | Claimant(s): Emmalee Jones, Roderick Sibley, Roderick A. Sibley IRA
Claimant Lawyers(s): Emmallee D. Jones, Roderick A. Sibley
Respondent(s): Lyndon Davis, Raymond, James & Associates.
Respondent Lawyers(s): Lyndon L. Davis, Raymond W. Henney
Arbitrator(s): Gail K. Barski-McCracken, Kenneth Alan Roth, Sandra Jo Baumchen
Hearing Site: Detroit, MI
| | Settlement |
| 17-00829 | 10/15/2019 | Claimant(s): Joseph Camp, Robin Camp, The Pauline M. Camp Family Trust
Claimant Lawyers(s): James P. Booker
Respondent(s): IMS Securities.
Respondent Lawyers(s): Jackie Wadsworth
Arbitrator(s): Sherry R. Wetsch, Shannon Lyn Mays, Jewel Elizabeth Smith
Hearing Site: Houston, TX
| | $410,000 |
| 18-03492 | 10/14/2019 | Claimant(s): William Siu
Claimant Lawyers(s): Jon A Titus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard Kent Mahrle, John Joseph Welsh, Jerome Allan Landau
Hearing Site: Phoenix, AZ
| | $330,000 |
