| 16-00629 | 10/18/2018 | Claimant(s): Antonio Gnocchi Franco, Gnocchi Franco Law Offices PSC, Antonio Gnocchi Ret Plan
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Richard S. Zaifert, Julius P. Terrell, Sydney E. Blum
Hearing Site: San Juan, PR
|  | $173,537 |
| 16-03331 | 10/17/2018 | Claimant(s): Adrienne Urban, David Urban
Claimant Lawyers(s): Brian M. Andrew
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Peter Chema
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | Expungement |
| 18-00756 | 10/17/2018 | Claimant(s): Ana Romeu Villanueva
Claimant Lawyers(s): Alfonso Fernandez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara L. Velez Santiago
Arbitrator(s): Sidney J. Wartel
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206 |
| 18-02210 | 10/17/2018 | Claimant(s): Howard King
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): Jeffry L. Perlman
Hearing Site: Washington, DC
| | $44,100 |
| 17-02152 | 10/17/2018 | Claimant(s): Antonia Barone
Claimant Lawyers(s): Joanne A Schultz
Respondent(s): James Haskins, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Michael A. Orticelle, Steven C. Kempisty, L. Paul Kehoe
Hearing Site: Buffalo, NY
| | $0 |
| 18-00376 | 10/16/2018 | Claimant(s): Marsha Neuenschwander
Claimant Lawyers(s): Marsha M. Neuenschwander
Respondent(s): Elsa Cazares, James Neuenschwander, Michael Neuenschwander
Respondent Lawyers(s): Robert E. Menje
Arbitrator(s): Robert H. Putnam, Michael J. Ahlstrom, Coleman Robert Perry
Hearing Site: Nashville, TN
| | $0 |
| 18-02259 | 10/16/2018 | Claimant(s): 10 Casper Partners LLC
Claimant Lawyers(s): David L. Ball
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Howard Alan Grinsberg
Hearing Site: Newark, NJ
| | $0 |
| 17-00407 | 10/15/2018 | Claimant(s): Marcia Berger, The Marcia Berger Brokerage Account, and, Marcia Berger IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Elliott M. Rector
Arbitrator(s): Erik R. Siering, Robert F. Saint-Aubin, Damon Lovette Lewis
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01671 | 10/12/2018 | Claimant(s): Margaret Lee, Robert Lee
Claimant Lawyers(s): Daniel J. Dwyer
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Peter J. Dale, Gerard S. Marsan, Susan E. Maloney
Hearing Site: Boston, MA
| | $34,537 |
| 17-01666 | 10/10/2018 | Claimant(s): J. Thomas Netzer
Claimant Lawyers(s): Joseph D. Sheppard
Respondent(s): Moloney Securities Asset Management, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Leonard Arthur Nelson, Lawrence R. Rute, Bryan E. Mouber
Hearing Site: Kansas City, MO
| | $300,000 |
