| 18-03240 | 04/03/2019 | Claimant(s): Angela Siegel, The Siegel and Reichek Family Irrevocabl
Claimant Lawyers(s): Jeffrey I. Baum
Respondent(s): Ameriprise Financial Services., Joel Goodman
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): John D. Nagy
Hearing Site: New York, NY
|  | $0 |
| 17-03044 | 04/02/2019 | Claimant(s): Michels Family Investment Trust
Claimant Lawyers(s): Gary Menzer
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Gerald Silverman, Gary Frederick Birnberg, Isadora Velazquez-Rivas
Hearing Site: Miami, FL
| | Expungement |
| 18-00121 | 04/02/2019 | Claimant(s): Mirchandani-Xu FLT
Claimant Lawyers(s): Michael Hill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): John J. Fitzpatrick, Jon H. Sylvester, Adrian Alec Colley
Hearing Site: San Francisco, CA
| | $0 |
| 18-03239 | 04/02/2019 | Claimant(s): Charles Chirico
Claimant Lawyers(s): David M. White
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Mitra E. Niknam
Arbitrator(s): Robert J. McDonnell
Hearing Site: Newark, NJ
| | $0 |
| 18-01421 | 04/01/2019 | Claimant(s): Wendy McDaniel
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John Stalanski
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | $100,000 |
| 17-03474 | 03/29/2019 | Claimant(s): Eleanora Devenish, Robert Devenish
Claimant Lawyers(s): Richard Freeth
Respondent(s): Morgan Stanley, Susan Fry Mamis, Susan Gnall
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Robert H. Putnam, John F. Adcock, Kathryn Elizabeth Schwartz
Hearing Site: Columbia, SC
| | $0 |
| 14-01700 | 03/28/2019 | Claimant(s): Scott Foster
Claimant Lawyers(s): Scott Foster
Respondent(s): Tina Gelmisi, Hantz Financial Services.
Respondent Lawyers(s): David J. Shea
Arbitrator(s): Mauricio Kohn, William Joseph Caprathe, John Wendell Allen
Hearing Site: Detroit, MI
| | $0 |
| 18-00227 | 03/28/2019 | Claimant(s): Christine Schlosser
Claimant Lawyers(s): Kelly Pressler
Respondent(s): Dean Heinemann, Clayborne Group LLC
Respondent Lawyers(s): David R. Wise
Arbitrator(s): Kenneth R. Hotopp, Ira A. Auerbach, Michael Jaffe
Hearing Site: Albany, NY
| | $250,000 |
| 18-02884 | 03/27/2019 | Claimant(s): William Portugal
Claimant Lawyers(s): William Portugal
Respondent(s): Roshan Loungani, Arete Wealth Management.
Respondent Lawyers(s): UnBo (Bob) Chung
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
| | Expungement |
| 17-02237 | 03/27/2019 | Claimant(s): The Frances E Wright Trust
Claimant Lawyers(s): Roger T. Wright
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | $0 |
