| 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 |
