17-02365 | 07/05/2019 | Claimant(s): Jamie Brown, Roger Brown Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): George Rankin, UBS Financial Services Inc., Samuel Rankin Respondent Lawyers(s): Anthony J. Borrelli, Cory Hohnbaum Arbitrator(s): Mary E. Woytek, John Russell Barlow, Richard E. Miley Hearing Site: Charlotte, NC
| | $125,000 |
17-02024 | 07/03/2019 | Claimant(s): Dorothy Barone, as trustee Claimant Lawyers(s): Scott E. Rahn Respondent(s): Andrew Brown Respondent Lawyers(s): Andrew Owen Brown Arbitrator(s): Alan M. Rosen Hearing Site: Los Angeles, CA
| | $76,781 |
18-02321 | 07/03/2019 | Claimant(s): Vinh Thai Claimant Lawyers(s): David E. Robbins Respondent(s): TD Ameritrade. Respondent Lawyers(s): Amanda Helm Wright Arbitrator(s): Ted M. Rosen, Gregory J. Getz, Paul C. Tang Hearing Site: New York, NY
| | $1,125 |
19-00099 | 07/01/2019 | Claimant(s): Gina Bert-Zatto Claimant Lawyers(s): Anthony R Minchella Respondent(s): Santander Securities LLC Respondent Lawyers(s): N. Nancy Ghabai Arbitrator(s): Samuel H. Chorches Hearing Site: Hartford, CT
| | Expungement |
17-00791 | 07/01/2019 | Claimant(s): Mansoor Karamooz, Trustee Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jason R. Lindsay Arbitrator(s): Richard M. Norman, Edward H. Davis, Barry A. Fisher Hearing Site: Los Angeles, CA
| | $209,482 |
17-00695 | 07/01/2019 | Claimant(s): Estate of Hazel L. Surless Claimant Lawyers(s): Arthur Vincent Respondent(s): David Israel, Morgan Stanley Respondent Lawyers(s): Joseph A. Sack Arbitrator(s): Leslie L. Cooney, Maria Rosa Scalone, Lisa Jane Austein Hearing Site: Boca Raton, FL
| | $0 |
17-00698 | 07/01/2019 | Claimant(s): Charlene Gates, Succession of Richard Gates Claimant Lawyers(s): Jessica Vasquez Respondent(s): Irvin Schorsch, Pennsylvania Capital Management Respondent Lawyers(s): Brian A. Carlis Arbitrator(s): Mark A. Myers, Barbara L. Edin, Daniel J. Pagnano Hearing Site: New Orleans, LA
| | $0 |
17-03042 | 06/28/2019 | Claimant(s): Deborah Scribner, George Scribner, George H. Scribner IRA, Scribner. 401(k) Plan, Scribner Living Trust U/A DTD 05/16/1996, Scribner Inc, Defined Benefit Plan Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Anthony Ross, Wells Fargo Advisors, Lloyd Evans, Wachovia Securities Inc. Respondent Lawyers(s): Geoff Beckham, Lloyd Glenn Evans Arbitrator(s): Michael M. Hachigian, Mary M. O'Neil, Bruce Leslie Ishimatsu Hearing Site: Los Angeles, CA
| | Expungement |
18-03634 | 06/28/2019 | Claimant(s): Bruce Divers, Robin Divers Claimant Lawyers(s): Bruce M. Divers Respondent(s): Interactive Brokers Respondent Lawyers(s): Mark G. Materna Arbitrator(s): Leah Murray Albert Hearing Site: St. Louis, MO
| | $0 |
18-04002 | 06/28/2019 | Claimant(s): Estate of Loraine Neitzel Claimant Lawyers(s): David M. White Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Sydney H. Crowder Arbitrator(s): Diane Ciccone Hearing Site: Philadelphia, PA
| | $0 |