| 18-02028 | 11/15/2018 | Claimant(s): Leonard Dibbs
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Four Points Capital Partners LLC
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE
|  | Expungement |
| 15-03213 | 11/15/2018 | Claimant(s): Charles Martin and Linda Martin
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Joseph Carrara, Kieran Loughran
Respondent Lawyers(s): Joseph Peter Carrara, Matthew N. Fiorovanti
Arbitrator(s): Mark A. Myers
Hearing Site: New Orleans, LA
| | $0 |
| 17-01741 | 11/15/2018 | Claimant(s): Jose Calderon
Claimant Lawyers(s): Kenneth Catanzarite
Respondent(s): Eric Marlin, Michael Cruz, Robert Hicks, Finance 500.
Respondent Lawyers(s): Brandon S. Reif, Edward S. Zusman, Jeffrey S. Kob
Arbitrator(s): Robert D. Sussin, Thomas E. Shuck, H. Stuart Waxman
Hearing Site: Los Angeles, CA
| | $0 |
| 18-01106 | 11/15/2018 | Claimant(s): Thomas Jordan
Claimant Lawyers(s): David M. White
Respondent(s): Morgan Stanley, Michael Goldberg, Zachary Goldberg
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Francis Carling
Hearing Site: New York, NY
| | $0 |
| 17-02600 | 11/13/2018 | Claimant(s): Cynthia Marovich, Estate of Ward G. Dexel
Claimant Lawyers(s): Katherine E. Mott
Respondent(s): Gregory Collins, Raymond James Financial Services.
Respondent Lawyers(s): Raymond W. Henney
Arbitrator(s): Martin Brosnan, James George Timpa, Douglas S. Parker
Hearing Site: Detroit, MI
| | Expungement |
| 17-03507 | 11/13/2018 | Claimant(s): Margarita Briggs, Michael Briggs
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): BOK Financial Securities.
Respondent Lawyers(s): Jared Burden
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | $22,072 |
| 18-01341 | 11/13/2018 | Claimant(s): Robert J Narveson IRA, Robert J Narveson & Stephanie T Narveson
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Jay Brown
Respondent Lawyers(s): David Baugh
Arbitrator(s): Jack D. Elmquist
Hearing Site: Minneapolis, MN
| | Expungement |
| 18-01756 | 11/13/2018 | Claimant(s): John and Jane Fuchs
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Paul Weinberg, Gilbert A. Schnirman, Will Murphy
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12504 |
| 16-03735 | 11/12/2018 | Claimant(s): Timothy Wheeler
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, Michael D Felton, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-01207 | 11/12/2018 | Claimant(s): Kathy Walters
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Richard E. Miley, Dwane Edward Vickstrom, Richard Francis Kane
Hearing Site: Charlotte, NC
| | $129,058 |
