18-01779 | 08/23/2019 | Claimant(s): George Arthur Claimant Lawyers(s): Scott L. Silver Respondent(s): Worden Capital Management Respondent Lawyers(s): Michael C. Farkas Arbitrator(s): Mark C. Perry, Sydney E. Blum, Thomas W. Allen Hearing Site: Boca Raton, FL
| | $0 |
18-03605 | 08/23/2019 | Claimant(s): Mary Harger Claimant Lawyers(s): Victor J. Segale Respondent(s): Collin Fingon, Cetera Advisors LLC Respondent Lawyers(s): Steven N. Fuller Arbitrator(s): John James McGovern Hearing Site: Montpelier, VT
| | $0 |
17-01674 | 08/22/2019 | Claimant(s): Richard Wagenfeld Claimant Lawyers(s): Val D. Hornstein Respondent(s): J.P. Morgan Securities, Securities America., Michael Long Respondent Lawyers(s): Chad Weaver, Michael J. Charlillo Arbitrator(s): Paul J. Dubow, Dean J. Dietrich, Jonathan Polland Hearing Site: San Francisco, CA
| | $0 |
18-03319 | 08/22/2019 | Claimant(s): Thomas Mellish Claimant Lawyers(s): Jason T Albin Respondent(s): David Bartfeld, Edward Jones Respondent Lawyers(s): Holly Stein Sollod Arbitrator(s): Thaddeus J. Tecza, Ilene T. Gormly, Dennis C Moore Hearing Site: Denver, CO
| | $0 |
17-00486 | 08/21/2019 | Claimant(s): Alan Melton, Amy Stubler, Andrew Howard, Angela Beverly, Anthony Beard, Anthony Caminiti, Anton Jensen, Bertram Sanders, Brent McMillan, Catherine Druhan, Chris Stewart, Curtis Huffman, Cyrenna Welch, Daniel Stubler, Darin Arnold, David Jensen, David Myrick, Dolphus Broxton, Donald Barnes, Ebba Dampier, Evie Stewart, Gary Garner, Gary Schack, George Lee, Glenda Lee, Gregory Ames, Gregory Prescott, Gregory Strachan, H. Pitman, Heather Fadden, James Donaghey, James Stinebaugh, Jennifer Bender, Jere Miller, Joan Pitman, John Jones, Joseph Druhan, Judith Barnes, Keith Keppen, Kimberly Melton, Lacie Jensen, Laurie Miller, Lewis Abronski, Livingston Coate, Lori Hutchinson, Lundy Wilder, Martin Myrick, Michael Coleman, Michael Miller, Natalie McMillan, Patrick Daily, Philip Taber, Randy Couture, Raymond Miller, Rebecca Coate, Richard Beverly, Robin Coleman, Ronald Ori, Sharon Agapos, Susan Hamilton, Susan Rosson, Terri Myrick, Terry Welch, Theodore Dampier, Thomas Bender, Thomas Egbert, Thomas Fadden, Thomas Walters, Timothy Rosson, William March, William Stitt, William Stuart, Lewis B. Abronski as Trustee of Third, The Agapos Living Trust Claimant Lawyers(s): Kalju Nekvasil Respondent(s): WFG Investments. Respondent Lawyers(s): David R. Clouston Arbitrator(s): Lita S Menkin, Joe E. Manuel, John D. Mattingly Hearing Site: Birmingham, AL
| | Stipulated Award |
18-03137 | 08/21/2019 | Claimant(s): Gail Higashi, Kevin Higashi Claimant Lawyers(s): Lisa Anne Smith Respondent(s): Jacob Kagele Respondent Lawyers(s): Dennis A. Rosen Arbitrator(s): Michael Kelley Hearing Site: Phoenix, AZ
| | $35,632 |
17-03494 | 08/20/2019 | Claimant(s): Suzanne Takowsky, Suzanne Takowsky Rev Trust DTD 5/20/14 Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Morgan Stanley Respondent Lawyers(s): Nicholas Y. Lin Arbitrator(s): Barbara M. Zak, Pamela Jane Koslow, Erin Person Hearing Site: Los Angeles, CA
| | $300 |
18-03891 | 08/19/2019 | Claimant(s): Ann De Jong, Wildchild Spendthrift DTD 7/29/16 Trust Claimant Lawyers(s): Benjamin Edwards Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Paul E. Dahlman Hearing Site: Las Vegas, NV
| | $41,451 |
17-02354 | 08/19/2019 | Claimant(s): Cynthia Blasini, Jose Blanco Garrido, Maria Blanco Alvarado, Jostoche Associates, S.E., Jose E. Blanco Blasini Trust Claimant Lawyers(s): Robert W. Pearce Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Leslie Flores, Peter S. Fruin Arbitrator(s): Cheryl E. Winton, Richard J. Kaplan, Karen J. Orlin Hearing Site: San Juan, PR
| | $4,420,380 |
19-00876 | 08/19/2019 | Claimant(s): Sandra Barbato Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Jeffrey Villwock, Lanier Securities Respondent Lawyers(s): Jeffrey C. Villwock Arbitrator(s): Gayle B. Carlson Hearing Site: Orlando, FL
| | $0 |