| 17-01642 | 12/12/2018 | Claimant(s): Congregation Machzikei Hadas
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): Ted M. Rosen, Clive I. Morrick, Deborah Nadine Kaminer
Hearing Site: New York, NY
|  | $0 |
| 16-03759 | 12/11/2018 | Claimant(s): Elliot Manson
Claimant Lawyers(s): Christopher D. Lonn
Respondent(s): Robert Dagosta, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Stephen J. Holtman
Arbitrator(s): Virginia H. Wertz, Brian W. Yee, John H. Fearnow
Hearing Site: Phoenix, AZ
| | $200,000 |
| 17-00554 | 12/11/2018 | Claimant(s): Muhammad Munir, Uzma Munir, Muhammad Munir SEP IRA, Muhammad and Uzma Munir
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Lita S Menkin, Jack A. Helms, John Winslow Griesser
Hearing Site: Nashville, TN
| | Expungement |
| 17-01734 | 12/11/2018 | Claimant(s): Bruce Hink
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Benjamin Biard
Arbitrator(s): Donald Glen Russell, Raymond P. Buschmann, Michael Charles Peek
Hearing Site: Indianapolis, IN
| | Expungement |
| 17-03378 | 12/11/2018 | Claimant(s): Kantilal Desai, Nilam Desai
Claimant Lawyers(s): Kantilal P. Desai
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): G. Maynard Green, Edward Bradbury Cloutman, Will Pryor
Hearing Site: Dallas, TX
| | Dismissed by Rule 12504 |
| 16-00361 | 12/11/2018 | Claimant(s): Versel Green
Claimant Lawyers(s): Versel Green
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Maryann Donahue-Yadon, Ralph L. Halpern, Kenneth Dymond
Hearing Site: Buffalo, NY
| | $0 |
| 17-01206 | 12/10/2018 | Claimant(s): Ricky Vanzant
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Mary E. Woytek, James A. Hayes, James F. Major
Hearing Site: Charlotte, NC
| | $550,000 |
| 18-00218 | 12/10/2018 | Claimant(s): Mariana Smith
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Rafael Golan, Crystal Bay Securities Inc.
Respondent Lawyers(s): Cristopher S. Rapp
Arbitrator(s): Barth Satuloff, Les R. Campbell, Thomas Fred Meyer
Hearing Site: Boca Raton, FL
| | $192,599 |
| 17-02783 | 12/07/2018 | Claimant(s): Stephen Shaper
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Andrew Tressler, Cassandra Woodward, Todd Aitken, Liberty Partners Financial Services
Respondent Lawyers(s): Eric J. Sussman
Arbitrator(s): Dale A. Hearn, Brian James Tagtmeier, Stuart Diamond
Hearing Site: Houston, TX
| | $0 |
| 18-02512 | 12/07/2018 | Claimant(s): Brian McDermott, Patricia McDermott
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): J.P. Morgan Securities, Wells Fargo Clearing Services, Kevin Mercer
Respondent Lawyers(s): Heidi E. VonderHeidi, Jeffery Rodgers, Kevin Allen Mercer
Arbitrator(s): Daniel Robbins
Hearing Site: New York, NY
| | $600 |
