16-03454 | 04/25/2019 | Claimant(s): James Fitzpatrick, Sandra Fitzpatrick, The Fitzpatrick Family Trust Claimant Lawyers(s): Jason J. Kane Respondent(s): AXA Advisors Respondent Lawyers(s): Joseph S. Simms Arbitrator(s): Jeffrey M. Bain, Thomas E. Webb, Krista Gottlieb Hearing Site: Buffalo, NY
| | $3,181,830 |
18-03193 | 04/25/2019 | Claimant(s): Junfeng Song Claimant Lawyers(s): Kristian Kraszewski Respondent(s): Independent Financial Group., Ameritas Investment Corp. Respondent Lawyers(s): Andrea Snowden, Edward Zusman Arbitrator(s): Steven Irving Platt Hearing Site: Baltimore, MD
| | Expungement |
18-00112 | 04/24/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido Claimant Lawyers(s): Lars Soreide Respondent(s): Morgan Stanley Respondent Lawyers(s): Nicholas N. George Arbitrator(s): Christine L. Stetson, Maryanne M. Esser, Shannon Lyn Mays Hearing Site: Houston, TX
| | Expungement |
17-01402 | 04/23/2019 | Claimant(s): Kathryn Montony, William Montony Claimant Lawyers(s): Thomas J. Wolf Respondent(s): Christopher Burtraw Respondent Lawyers(s): Christopher Charles Burtraw Arbitrator(s): Deanna M. Tuley Hearing Site: Denver, CO
| | $500,000 |
18-01533 | 04/23/2019 | Claimant(s): Eric Baho Claimant Lawyers(s): Eric Baho Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Melissa H. Shea Arbitrator(s): Stephen D. Arkwright, Gerald W. Hepp, Timothy Guerriero Hearing Site: Detroit, MI
| | Expungement |
18-02065 | 04/23/2019 | Claimant(s): George Kane Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jacqueline R. Meyers Arbitrator(s): Larry T. Coady, James John Jurinski, Justin Kurt Kraemer Hearing Site: Portland, OR
| | Dismissed by Rule 12206/12504 |
16-03743 | 04/22/2019 | Claimant(s): Aileen Vidaud, Alexander Travieso, Amanda Fly, Barbara Edge, Dana Cooper, Donnella Tyler, Edward Fly, James Reynolds, Leila Reynolds, Lina Gibbs, Lynn Gibbs, Michael Edge, Patricia McDaniel, Robert Cooper, Robert Tyler, Shirley Jones, Trent McDaniel, William Vidaud, Estate of J. Michelle Edge, Aileen Vidaud IRA, et al Claimant Lawyers(s): David W. Miller Respondent(s): David Williams, Wilson Williams Respondent Lawyers(s): Dena L. Mathis Arbitrator(s): Bertrand C. Moser, Stephen James Cavanaugh, Camille Morris Tankersley Hearing Site: Houston, TX
| | $358,387 |
17-03145 | 04/22/2019 | Claimant(s): Alan Airey, Brenda Alford, Carolyn Nightingale, Dan Crane, Dean Huntington, Debra Asher, Denis Smith, James Williams, John Trabold, Jung Herding, Karen Isbell, Marie Wolfe, Mona Smith, Paul Nightingale, Paul Wolfe, Pierre Herding, Stan Isbell, Susan Connell, The Trustee Premier Trust of Nevada Claimant Lawyers(s): Scott D. Hirsch Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): Louis J. Weber, Don G Miller, Juanita Harris Hearing Site: Dallas, TX
| | $0 |
18-02951 | 04/22/2019 | Claimant(s): Shirley Kube Claimant Lawyers(s): Shirley L. Kube Respondent(s): Cambridge Investment Research., Robert McCalmont Respondent Lawyers(s): John Hitchings Arbitrator(s): Barry Goldman Hearing Site: Pittsburgh, PA
| | $0 |
18-00330 | 04/19/2019 | Claimant(s): The Jean Saunders Trust, The Stephen Saunders Trust Claimant Lawyers(s): Stefan Apotheker Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Anthony L. Valenzuela Arbitrator(s): Linda M. Foster-Wells, Sonja Shuford, Lisa Jane Austein Hearing Site: Boca Raton, FL
| | Expungement |