18-03635 | 10/14/2019 | Claimant(s): Linda Gouza, Theodore Gouza Claimant Lawyers(s): Chad M. Ostrosky Respondent(s): LPL Financial LLC, Bryan Davis Respondent Lawyers(s): David J. Freniere Arbitrator(s): Richard W. Dissen, Edward W. Morris, Kenneth Alan Eisner Hearing Site: Pittsburgh, PA
| | $0 |
19-01017 | 10/11/2019 | Claimant(s): Steven Keats Claimant Lawyers(s): Steven L. Keats Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Harvey Barrison Hearing Site: New York, NY
| | $0 |
18-01147 | 10/10/2019 | Claimant(s): Virginia Transfomer., Prabhat Jain, Santosh Jain Claimant Lawyers(s): David E. Robbins Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Elliot B. Platt, Donita M. King, Peter H. Goldberg Hearing Site: Richmond, VA
| | $0 |
18-01549 | 10/08/2019 | Claimant(s): Justina Manko Claimant Lawyers(s): Matthew J. McDonald Respondent(s): Wells Fargo Advisors Financial Network, Thomas Gasbarre Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Catherine Stewart, Mae A. Brudner, Thomas M. Madden Hearing Site: Hartford, CT
| | $0 |
18-01105 | 10/07/2019 | Claimant(s): Elena Horohoe, Rose Aliotta Claimant Lawyers(s): Christopher P. Milazzo Respondent(s): Debra Bushman, UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Robert E. Anderson Hearing Site: New York, NY
| | $0 |
18-04167 | 10/07/2019 | Claimant(s): Amy Jiau, Jih Chyi Leu Claimant Lawyers(s): Wileen Leu Respondent(s): Cindy Chen, HSBC Securities (USA) Inc. Respondent Lawyers(s): Emily C. Grimm Arbitrator(s): Edward A. Trabin, Arthur T. Berggren, Nir Hanien Hearing Site: Los Angeles, CA
| | $0 |
19-00954 | 10/04/2019 | Claimant(s): Neal Latino Claimant Lawyers(s): Lars Soreide Respondent(s): Joseph Orlando, First Standard Financial Company Respondent Lawyers(s): Craig A. Riha Arbitrator(s): Abraham Harry Bunis Hearing Site: Providence, RI
| | $0 |
17-03299 | 10/03/2019 | Claimant(s): Michael Stern, Paul Levin, Wendy Stern, Estate of Gloria Levin Claimant Lawyers(s): Daniel J. Miller Respondent(s): Kenneth Blumberg, Stifel, Nicolaus & Co.. Respondent Lawyers(s): Edwin A. Zipf Arbitrator(s): Edward J. Gutman, Catherine Esther Bocskor, John Leslie Coker Hearing Site: Baltimore, MD
| | $1,524,180 |
18-03791 | 10/03/2019 | Claimant(s): Janet Heath, Jerry Heath, Joseph Taborek, Sandra Gizzi, James N. Heald Claimant Lawyers(s): Kalju Nekvasil Respondent(s): James Heafner, Taylor Capital Management Inc. Respondent Lawyers(s): James Hal Heafner, Preston Spears Arbitrator(s): Joe E. Manuel, David F. Simon, Daniel Lee Tedrick Hearing Site: Charlotte, NC
| | $1,033,360 |
18-02617 | 10/02/2019 | Claimant(s): Rebecca Frederick Claimant Lawyers(s): Rebecca Frederick Respondent(s): Morgan Stanley Respondent Lawyers(s): Timothy B. Atkins Arbitrator(s): Monroe Mitchel Hearing Site: Boca Raton, FL
| | $0 |