| 19-00271 | 08/30/2019 | Claimant(s): Andrew Kilpatrick
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Gregory Crance, Oneamerica Securities.
Respondent Lawyers(s): Emily Sides Bonds, Julie Wilson Portera
Arbitrator(s): Marvin Kent Speigner
Hearing Site: Birmingham, AL
|  | $22,357 |
| 17-02284 | 08/30/2019 | Claimant(s): Cynthia Dahlstrom, Dana Proctor, David Dahlstrom, David D. Dahlstrom & Cynthia G.Dahlstrom
Claimant Lawyers(s): Anthony B. Bingham
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Ed Barkel
Arbitrator(s): I Douglas Dunipace, Loren Scott Buell, Jerome Allan Landau
Hearing Site: Phoenix, AZ
| | $0 |
| 18-00253 | 08/29/2019 | Claimant(s): Sandra Althaus, Sandra Althaus IRA, Sandra Althaus Roth IRA, Sandra Althaus SEP IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon, David I. Levine, Michael Lancaster Garcia
Hearing Site: Reno, NV
| | $721,117 |
| 18-01073 | 08/29/2019 | Claimant(s): Sean Stewart
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Daniel Dvorznak, Nicholas Tsikitas, J.D. Nicholas & Associates.
Respondent Lawyers(s): Irwin Weltz, James Dolan
Arbitrator(s): Richard H. Potter, Susan L. Luck, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | Settlement |
| 18-01161 | 08/29/2019 | Claimant(s): Philip Montante IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Theodore Haynes
Hearing Site: Orlando, FL
| | $0 |
| 18-02477 | 08/29/2019 | Claimant(s): Edelgard Hosmer Trust U/A dated 5/1/07, Edward J. Hosmer, Edward J. Hosmer Trust U/A dated 5/1/07
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Roger C. Benson, David M. Snyder, Richard Manuel Barcia
Hearing Site: Tampa, FL
| | $100,000 |
| 17-00770 | 08/28/2019 | Claimant(s): Kessev Tov LLC
Claimant Lawyers(s): David W. Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): David Luger
Arbitrator(s): Mark R. Topper, Mitchel Weiss, Anthony Ruben
Hearing Site: Orlando, FL
| | $0 |
| 18-01899 | 08/28/2019 | Claimant(s): James Porz
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Harvey Barrison, Philip J De Bellis, Patricia Kathleen Costello
Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
| 19-00270 | 08/28/2019 | Claimant(s): Matthew Kilpatrick
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Gregory Crance, OneAmerica Securities.
Respondent Lawyers(s): Emily Sides Bonds, Julie Wilson Portera
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | $300 |
| 17-02050 | 08/24/2019 | Claimant(s): Adilia Beam, The Estate of Monte Beam
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Jon Tribbel, Conover Securities Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Louis J. Weber, Nicole T. LeBoeuf, Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | $0 |
