| 17-03437 | 01/07/2019 | Claimant(s): Aldus Chapin, Chapin Family Trust
Claimant Lawyers(s): Aldus N Chapin
Respondent(s): TD Ameritrade., Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch, Simeon Schopf
Arbitrator(s): Harvey Barrison, Julian F. Santos, Pierre F. de Ravel d'Esclapon
Hearing Site: New York, NY
|  | Expungement |
| 18-02793 | 01/07/2019 | Claimant(s): IRA FBO Jerry Lee LaMaack
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Feltl & Company
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $17,418 |
| 18-00452 | 01/07/2019 | Claimant(s): Melissa Eaves, Rodney Eaves
Claimant Lawyers(s): Paul A. Conant
Respondent(s): First Financial Equity Corporation
Respondent Lawyers(s): Kevin R. Heaphy
Arbitrator(s): Maureen Beyers, Richard Marc Weinroth, Renee Bryna Gerstman
Hearing Site: Phoenix, AZ
| | $1,050,860 |
| 18-01165 | 01/04/2019 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Ian H. Hummel
Respondent(s): First Cap. Real Estate Investments, First Cap. Real Estate Op. P'ship LP, First Capital Real Estate Advisors LP, First Capital Real Estate Trust Inc.
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Gerry E. Feinberg, Morton S. Bunis, Megan Brillault
Hearing Site: New York, NY
| | $0 |
| 17-01319 | 01/04/2019 | Claimant(s): Altenhofen Revocable Trust
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Barbara M. Zak, Jeffrey E. Skogsbergh, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | Expungement |
| 18-01500 | 01/04/2019 | Claimant(s): Mark Nudelman
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
| | Expungement |
| 18-02355 | 01/03/2019 | Claimant(s): Adele Harper, Amanda Harper, Chris Hansen, Christina Hansen, Ed Harper, Gary Hansen, Genene Hansen, Philip Harper, Ray Hadley, Rick Tokita, Robert Hadley, Terry Hansen, Trevor Shuman
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Heath Bowen
Respondent Lawyers(s): Tamara A. Seelman
Arbitrator(s): Elwood C. Avery, Paul E. Dahlman, James E. Bartels
Hearing Site: Boise, ID
| | $385,000 |
| 17-02103 | 01/02/2019 | Claimant(s): Eric Gasper, Stacy Gasper
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | Expungement |
| 17-00637 | 01/02/2019 | Claimant(s): Henry Zimmerman, Linda Zimmerman
Claimant Lawyers(s): Gerardino Di Popolo
Respondent(s): Francis Gendlek
Respondent Lawyers(s): Francis Joseph Gendlek
Arbitrator(s): Leslie Ruth Nydick, Angela Foster, James F. Rohrman
Hearing Site: Newark, NJ
| | $53,200 |
| 18-02772 | 01/02/2019 | Claimant(s): Max Teppich & Adriane Carvalho De Lima
Claimant Lawyers(s): Max Teppich
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | $0 |
