18-00177 | 04/08/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido Claimant Lawyers(s): Lars Soreide Respondent(s): LPL Financial LLC, Cetera Investment Services LLC Respondent Lawyers(s): David J. Freniere, Sean T. Needham Arbitrator(s): Daniel J. Pagnano, Charles Leonard Smith, Nick Thomas Hearing Site: Houston, TX
| | Expungement |
18-00620 | 04/08/2019 | Claimant(s): Ronald Bauer Claimant Lawyers(s): William Scott Turnbull Respondent(s): Wells Fargo Clearing Services, Steven Sklover Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Bernice Leah Stander, Linda M. Foster-Wells, Stephanie Jeannette Charny Hearing Site: Boca Raton, FL
| | Expungement |
18-02543 | 04/05/2019 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Brandon K. Hemley Respondent(s): Joseph Talafous Respondent Lawyers(s): Joseph A Talafous Arbitrator(s): Michael Louis Goldstone Hearing Site: Houston, TX
| | $0 |
18-03335 | 04/05/2019 | Claimant(s): David Shoesmith Claimant Lawyers(s): Jennifer Lamirand Respondent(s): Paul Waller Respondent Lawyers(s): Paul Waller Arbitrator(s): Jonathan H. Larson, M W Gear, Robert J. Gregory Hearing Site: Wichita, KS
| | Expungement |
18-03865 | 04/05/2019 | Claimant(s): Sonya Khaleel Claimant Lawyers(s): Mark A. Tepper Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Maggie Goetze Arbitrator(s): Jack Martin Coe Hearing Site: Miami, FL
| | $50,600 |
17-03181 | 04/04/2019 | Claimant(s): Daniela Spinola Gonzalez Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Safra Securities LLC Respondent Lawyers(s): Aaron Marks Arbitrator(s): Mark A. Myers, Juan Antonio Suarez Rodriguez, Jaime Enrique II Cruz Perez Hearing Site: San Juan, PR
| | $68,500 |
18-00082 | 04/04/2019 | Claimant(s): Joseph Stonbely Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Spartan Capital Securities Respondent Lawyers(s): Matthew N. Fiorovanti Arbitrator(s): James J. Fishman, Karimu F. Hill-Harvey, Charles F. Eisenhardt Hearing Site: New York, NY
| | Expungement |
18-01140 | 04/04/2019 | Claimant(s): Harry William Tepper Trust Claimant Lawyers(s): Marc I. Zussman Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Larry Edmonson Hearing Site: Los Angeles, CA
| | $85,061 |
17-03274 | 04/03/2019 | Claimant(s): SEP FBO Jon L. Shebel, Jon L. Shebel & Susan A. Shebel Claimant Lawyers(s): Charles Carlson Respondent(s): Barret Schultz, David McNally, Marshall Cassedy, McNally Financial Services Corporation Respondent Lawyers(s): Gary S. Kessler Arbitrator(s): Karl A. Vogeler, David A. Constantino, Meeta Alberta Bass Hearing Site: Jacksonville, FL
| | Expungement |
18-01177 | 04/03/2019 | Claimant(s): Pamela Palmer Claimant Lawyers(s): Steven Winick Respondent(s): Morgan Stanley, Morgan Stanley & Co., Mary Suhr Respondent Lawyers(s): Nicholas Y. Lin Arbitrator(s): Isidoro Berkman, William Michael Samsel, Steven Akiba Swernofsky Hearing Site: San Francisco, CA
| | $127,000 |