| 15-02810 | 10/09/2018 | Claimant(s): Bonnie Faleschini, David Plimpton, Randy Reinke, Richard Faleschini, Sally Redding, Susan Plimpton, Tim Redding
Claimant Lawyers(s): Steven J. Weintraut
Respondent(s): Charles Zajicek, Christopher Most, Wachovia Securities, Wells Fargo Advisors, Wells Fargo Clearing Services
Respondent Lawyers(s): Miriam G. Bahcall
Arbitrator(s): Steven R. Christensen, Michael F. Jordan, Steven M. Bialick
Hearing Site: Minneapolis, MN
|  | $430,000 |
| 16-00378 | 10/09/2018 | Claimant(s): Jerry Duke
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Ralph Principe, America's Choice Equities LLC
Respondent Lawyers(s): Michael Gilmore
Arbitrator(s): Richard E. Lauziere, Jim Geiger, Joseph J. Dougherty
Hearing Site: Wilmington, DE
| | $0 |
| 17-00841 | 10/08/2018 | Claimant(s): Austin Wambold, James Wambold, Susan Wambold
Claimant Lawyers(s): Lars K Soreide
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Donald N. Tolin, Jonathan B. Gilbert, James Edward Nash
Hearing Site: Omaha, NE
| | Expungement |
| 15-01108 | 10/08/2018 | Claimant(s): Mary Whalen
Claimant Lawyers(s): Tyler Korn
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James Vihstadt
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 16-03671 | 10/05/2018 | Claimant(s): Frank Meyers, Meyers FLP, Kepner Plastics Profit Sharin Plan, Frank Meyers Family Trust, Meryl Lee on behalf of Calle Mayor Trust
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert E. Jenks, Holly Banafsheh, Owen Frances
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-01152 | 10/04/2018 | Claimant(s): Joan Gara
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Langfred W. White, Victoria G.A. Willingham, Brian Michael Kane
Hearing Site: Jacksonville, FL
| | Expungement |
| 18-00641 | 10/03/2018 | Claimant(s): Emmanuel Obel
Claimant Lawyers(s): Emmanuel Obel
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): Helen Marinak Blohm, Gary S. DeWeese, Erik John Renga
Hearing Site: San Francisco, CA
| | Expungement |
| 16-02940 | 10/03/2018 | Claimant(s): David Dunn
Claimant Lawyers(s): Mark E. Flagel
Respondent(s): Dominic Rota, Sean Lanci, Caldwell International Securities
Respondent Lawyers(s): Dominic Paul Rota, Paul Jacobs, Sean Francis Lanci
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL
| | $210,000 |
| 17-01478 | 10/03/2018 | Claimant(s): Rose Leviton
Claimant Lawyers(s): Christopher J. Major
Respondent(s): David Cohen, Stifel, Nicolaus & Co.., Janney Montgomery Scott LLC
Respondent Lawyers(s): Edwin A. Zipf, Theodore R. Snyder
Arbitrator(s): Anna M. Fanelli, Martin A. Edelstein, Linda J. Baer
Hearing Site: New York, NY
| | $0 |
| 17-02556 | 10/03/2018 | Claimant(s): Susan Radzinowicz
Claimant Lawyers(s): John F. Newell
Respondent(s): Morgan Stanley, Stephen Crane
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Elizabeth C. Simon, Mark W Solock, Michael John Gallagher
Hearing Site: Chicago, IL
| | $0 |
