18-03141 | 09/11/2019 | Claimant(s): Betty Bailey, Betty Bailey IRA Claimant Lawyers(s): David W. Miller Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Paul D. Flack Arbitrator(s): Lynne M. Gomez, Camille Morris Tankersley, Heather Gaile Layton Hearing Site: Houston, TX
| | $555,000 |
18-03907 | 09/11/2019 | Claimant(s): Gavin Kerby Claimant Lawyers(s): Gavin Kerby Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Anthony L. Valenzuela Arbitrator(s): Thaddeus J. Tecza, Ronald G. Guida, Mary Margaret Bush Hearing Site: Salt Lake City, UT
| | Dismissed |
18-01175 | 09/09/2019 | Claimant(s): Cary Grill Claimant Lawyers(s): Cary Gill Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Daniel R. Korb Arbitrator(s): Fred S. Pieroni, Robert R. Salman, Sidney Seligman Hearing Site: Newark, NJ
| | Settlement |
18-02714 | 09/06/2019 | Claimant(s): Andrew Jones Claimant Lawyers(s): Andrew R. Park Respondent(s): Patrick Teutonico, Wesley Clinton, Network 1 Financial Securities Inc. Respondent Lawyers(s): Martin P. Unger Arbitrator(s): Scott A. Schweber, Brandt Leonard Ross, George Pinckney Shingler Hearing Site: Atlanta, GA
| | $276,744 |
17-03465 | 09/06/2019 | Claimant(s): Norma Negrete Claimant Lawyers(s): Imran H. Ansari Respondent(s): Giovanni Narvaez, J.P. Morgan Securities, Mikal Haddad Respondent Lawyers(s): Shipra K. Rege Arbitrator(s): Martin A. Edelstein Hearing Site: New York, NY
| | $0 |
19-01004 | 09/06/2019 | Claimant(s): Hamilton Durning Claimant Lawyers(s): Hamilton L. Durning Respondent(s): TD Ameritrade. Respondent Lawyers(s): Ilana Herscovitz Reid Arbitrator(s): Louis M. Parker Hearing Site: Phoenix, AZ
| | $0 |
18-03414 | 09/04/2019 | Claimant(s): James Vanderloop Claimant Lawyers(s): Jennifer Tarr Respondent(s): Daniel Kloskowski, Todd Henrich Respondent Lawyers(s): Daniel Joseph Kloskowski, Todd Joseph Henrich Arbitrator(s): Jonathan B. Gilbert Hearing Site: Omaha, NE
| | $15,942 |
18-00528 | 09/04/2019 | Claimant(s): Hermann Spranger, II IRA Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Adam M. Wenner Arbitrator(s): Patrick R. Sughroue, Terrance J. Dorcy, Mark Scarr Hearing Site: Detroit, MI
| | $0 |
18-01430 | 09/04/2019 | Claimant(s): Estate of Paula Zaring Claimant Lawyers(s): George D. Jonson Respondent(s): Amy McPike Respondent Lawyers(s): Katie Zorc Arbitrator(s): Harlita R. Tomlinson, Christy K. Radigan, Alexander Jay Brockmeier Hearing Site: Cincinnati, OH
| | $0 |
18-02837 | 09/04/2019 | Claimant(s): Robbie Kennerson Claimant Lawyers(s): Bryan M. Ward Respondent(s): Genevieve Altieri, Morris Gross, Thomas Boyle, Estate of Jennie Gross Respondent Lawyers(s): Bryan M. Ward, Genevieve Altieri, Morris Gross, Thomas Boyle Arbitrator(s): Richard J. Fuller, William E. Schneider, Glenn W. Wheelock Hearing Site: Orlando, FL
| | Expungement |