| 17-03250 | 01/18/2019 | Claimant(s): Devonne Kjellsen, Janet Kjellsen
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
|  | $0 |
| 17-01706 | 01/16/2019 | Claimant(s): Joseph Collins, The Joseph L. Collins Rollover IRA
Claimant Lawyers(s): Joseph L. Collins
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Maurice M. Feller, Gayle B. Carlson, Christopher William Crowley
Hearing Site: Tampa, FL
| | Expungement |
| 15-02845 | 01/16/2019 | Claimant(s): Royce Felder
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Ahmad Wares, Anthony Caruso, Christopher Martin, Yvonne Owens, C.K. Cooper & Company.
Respondent Lawyers(s): Ahmad Wares, Alex Montano, Anthony Phillip Caruso, Christopher M. Martin, Yvonne R. Owens
Arbitrator(s): Susan Meek, Brian James Tagtmeier, Robert C. Rice
Hearing Site: Houston, TX
| | $0 |
| 17-02606 | 01/16/2019 | Claimant(s): Debra Korn, Eric Korn, Victoria Korn
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Franklin Ogele, William Broccio, Blackbook Capital
Respondent Lawyers(s): Franklin Ogele, William Joseph Broccio
Arbitrator(s): Bryan Lane Berson
Hearing Site: New York, NY
| | $0 |
| 18-00026 | 01/16/2019 | Claimant(s): George Booth
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Woodstock Financial Group.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Charles Scott McClellan
Hearing Site: Seattle, WA
| | $0 |
| 18-01518 | 01/16/2019 | Claimant(s): John Mercaldi
Claimant Lawyers(s): John Mercaldi
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | $0 |
| 17-03339 | 01/15/2019 | Claimant(s): Cathy Carter
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Ronald L. Cheney, Steven T. Stern, William Norton
Hearing Site: Manchester, NH
| | $2,630,140 |
| 18-04164 | 01/15/2019 | Claimant(s): Cathy Carter
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Gary Basralian
Respondent Lawyers(s): Gary John Basralian
Arbitrator(s): Steven T. Stern
Hearing Site: Manchester, NH
| | $2,613,660 |
| 17-03268 | 01/15/2019 | Claimant(s): Christine Spaziani, Robert Spaziani
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Samuel Cohen
Arbitrator(s): David F. Griesing, Emily Kay Declercq, Thomas E Kopil
Hearing Site: Philadelphia, PA
| | $0 |
| 17-03163 | 01/14/2019 | Claimant(s): Jamie Sorenson, Kevin Sorenson, Ashlan Sorenson, Tanner A. Sorenson
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Foresters Financial Services.
Respondent Lawyers(s): Susan M. Kelleher
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | Dismissed by Rule 12206 |
