| 15-03059 | 03/01/2019 | Claimant(s): Eyvgenyi Scherban, Ruslan Chtcherban, Yevgen Scherban, Estate of Nadejda Nikitinia, Estate of Yevgenyi A. Scherban
Claimant Lawyers(s): George Lambert
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): David I. Goldblatt, Rochelle Inger, Mark Cuccaro
Hearing Site: New York, NY
|  | $0 |
| 17-00612 | 02/28/2019 | Claimant(s): Sandi Hamm
Claimant Lawyers(s): Kerry L. Pedigo
Respondent(s): Erick Kuebler, J.P. Morgan Securities
Respondent Lawyers(s): Matthew Baum, Terry R. Weiss
Arbitrator(s): Todd R. Gough, Dineo Coleman Gary, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
| | $114,561 |
| 18-02991 | 02/27/2019 | Claimant(s): Patrick Steve Juneau, Viola Marcotte Juneau
Claimant Lawyers(s): John G McCabe
Respondent(s): Mollie Taylor, Capital One Advisors, Capital One Investing
Respondent Lawyers(s): Jon S. Hubbard, Mollie Becker Taylor
Arbitrator(s): Onnig Hatchig Dombalagian
Hearing Site: New Orleans, LA
| | $1,644 |
| 18-01405 | 02/26/2019 | Claimant(s): Estate of Richard Provost its Trustee
Claimant Lawyers(s): Michael A. Collora
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): David Ward
Arbitrator(s): Howard N. Gorney, Nadine Nasser Donovan, John Michael D'Amico
Hearing Site: Boston, MA
| | $115,780 |
| 18-03242 | 02/26/2019 | Claimant(s): Penny Eiffert
Claimant Lawyers(s): Penny P. Eiffert
Respondent(s): Chance Hodges, Erin Stieler, Karen Wilson Thissen, Susan Johnk, Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H, Crowder
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: New Orleans, LA
| | $0 |
| 18-00831 | 02/25/2019 | Claimant(s): Simon Halapir
Claimant Lawyers(s): Simon Halapir
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): D. Bruce Shine
Hearing Site: Nashville, TN
| | $0 |
| 17-00254 | 02/22/2019 | Claimant(s): Carrie Ford, Watkins Family Trust
Claimant Lawyers(s): Christopher P. Milazzo
Respondent(s): Carroll Clark, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): John P. Cullem, Mary Ann Etzler, Lorraine Naomi Pitre
Hearing Site: Orlando, FL
| | $15,300 |
| 17-00503 | 02/22/2019 | Claimant(s): Ronald Janicki
Claimant Lawyers(s): Michael A. Nagy
Respondent(s): Robert Weiss, Securities Management & Research.
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Francis A. King
Hearing Site: Pittsburgh, PA
| | $11,043 |
| 18-00141 | 02/22/2019 | Claimant(s): Justin Williams
Claimant Lawyers(s): James A. Sigler
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsey
Arbitrator(s): Robert E. Jenks, Bruce Oldham, Jacqueline Diane French
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 14-02185 | 02/21/2019 | Claimant(s): Amir Hemmat, Christine Hirata, Clyde Hirata, Kyle Jung, Leon Mezistrano, Selma Hemmat, Sylvia Mezistrano, SY&L, Larry Jung, as Trustee of the Robert and
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): WMS Financial Planners.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Elizabeth Anne Moreno, John W. Garman, Peter J Cohen
Hearing Site: Los Angeles, CA
| | Expungement |
