| 19-00703 | 08/12/2019 | Claimant(s): Nancy Harp
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Gerald W. Hepp
Hearing Site: Cleveland, OH
|  | $0 |
| 19-00212 | 08/09/2019 | Claimant(s): Tradestation Securities.
Claimant Lawyers(s): Steven M. Greenbaum
Respondent(s): Ksenia Pasochnik
Respondent Lawyers(s): Ksenia Pasochnik
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01681 | 08/09/2019 | Claimant(s): The Joseph Conti Revocable Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Erik Pica, Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Emily Diamond, Veronica Ann Williams, Loretta Yin
Hearing Site: Newark, NJ
| | $10,000 |
| 18-01515 | 08/08/2019 | Claimant(s): Jay Hu
Claimant Lawyers(s): Jay Z Hu
Respondent(s): Regal Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Erik R. Siering, Andrew M. Mintzer, David L. Moran
Hearing Site: Las Vegas, NV
| | $0 |
| 17-02998 | 08/07/2019 | Claimant(s): Rande Somma and Georgia Somma
Claimant Lawyers(s): Robert M. Sosin
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Alan J. Taylor
Arbitrator(s): Martin Brosnan, Tracy L. Allen, O'Neal Oliver Wright
Hearing Site: Detroit, MI
| | Expungement |
| 18-01124 | 08/07/2019 | Claimant(s): Richard Bodner
Claimant Lawyers(s): Jason T. Albin
Respondent(s): NYLife Securities LLC, William Mangano
Respondent Lawyers(s): Russell Sayre, Steven G. Janik
Arbitrator(s): William M. Getzoff, Robert H. Baker, Veronica A. Rice
Hearing Site: Cleveland, OH
| | Expungement |
| 17-02146 | 08/06/2019 | Claimant(s): Richard McCollam
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Mary Price
Respondent Lawyers(s): Mary Kathryne Price
Arbitrator(s): Frank R Weaver, Peter H. Daly, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | Expungement |
| 17-02896 | 08/06/2019 | Claimant(s): Edward Brucker, Eugene E. Brucker Revocable Trust DTD
Claimant Lawyers(s): Glenn E. Davis
Respondent(s): David Mesker, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert J. Gryzmala, James M. Stern, Kim L. Kirn
Hearing Site: St. Louis, MO
| | $170,379 |
| 18-01492 | 08/06/2019 | Claimant(s): James Welser
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Kalos Capital.
Respondent Lawyers(s): Kevin O'Hagen
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
| | Expungement |
| 18-03581 | 08/05/2019 | Claimant(s): Morgan Stanley, Joseph Goscienski
Claimant Lawyers(s): Heather B. Middleton
Respondent(s): Kamel Kazan
Respondent Lawyers(s): Kamel Kazan
Arbitrator(s): Fred S. Pieroni, Robert E. Anderson, Carl Mario Martorano
Hearing Site: Newark, NJ
| | Expungement |
