| 19-00082 | 10/02/2019 | Claimant(s): Tom Tufts
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): First Standard Financial Company
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
|  | $0 |
| 18-00446 | 10/01/2019 | Claimant(s): FPJ Investments LLC, Estate of Frank Perrotti, Jr.
Claimant Lawyers(s): David A. Gehn
Respondent(s): David Riccio
Respondent Lawyers(s): David Michael Riccio
Arbitrator(s): Mae A. Brudner, Franklin Sariel Schwerin, Thomas M. Madden
Hearing Site: Hartford, CT
| | $1,300,000 |
| 18-00230 | 09/30/2019 | Claimant(s): David Falcigno
Claimant Lawyers(s): Edmund Polubinski
Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Robert R. Barker, Robert L. Chase, Catherine M. Gallagher
Hearing Site: Hartford, CT
| | $29,337 |
| 19-01011 | 09/30/2019 | Claimant(s): Jeffrey Foster, Joyce Foster
Claimant Lawyers(s): David M. White
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery Rodgers
Arbitrator(s): Robert J. McDonnell
Hearing Site: Newark, NJ
| | $4,617 |
| 19-01359 | 09/27/2019 | Claimant(s): Harry Olivar
Claimant Lawyers(s): Harry A. Olivar
Respondent(s): Keith Goodman, Michael Solomon, Maxim Group LLC
Respondent Lawyers(s): Ian H. Hummel
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01786 | 09/26/2019 | Claimant(s): The Estate of Nancy Allan
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Seth M Erickson
Arbitrator(s): Terry F Peppard, Kevin J. Demet, William Joseph Caprathe
Hearing Site: Milwaukee, WI
| | $167,002 |
| 18-04276 | 09/26/2019 | Claimant(s): Edward Trieber
Claimant Lawyers(s): Barry Bordetsky
Respondent(s): Edward Herbst, Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 18-04051 | 09/25/2019 | Claimant(s): Tanya Coffeen
Claimant Lawyers(s): Mark A Tepper
Respondent(s): Raymond, James & Associates., D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery, Stanton A. Fears
Arbitrator(s): John Burritt McArthur
Hearing Site: San Francisco, CA
| | $69,554 |
| 18-03770 | 09/24/2019 | Claimant(s): Bella Verkhovsky
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): Brian Sodol, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
| | $0 |
| 17-03139 | 09/20/2019 | Claimant(s): Fatima Fernandez, Luis Fernandez
Claimant Lawyers(s): Fred Viera
Respondent(s): Morgan Keegan & Company, Raymond James Financial Services., Raymond, James & Associates., Ruben Frezzotti
Respondent Lawyers(s): George L. Guerra
Arbitrator(s): Ivy Robin Ginsberg, Dorota J. Trzeciecka, Joseph Michael Matthews
Hearing Site: Miami, FL
| | $43,827 |
