| 17-01680 | 09/20/2018 | Claimant(s): Diana Needham
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Geoffrey Frazier, Timothy Lyle
Respondent Lawyers(s): Brian A. Carlis, Debra A. Jenks
Arbitrator(s): Leonard E. Benade, Muriel Desloovere, Michael J. Pasquale
Hearing Site: Raleigh, NC
|  | Expungement |
| 18-02742 | 09/20/2018 | Claimant(s): Judy J. Smith, IRA, Michael D. Smith, Michael D. Smith and Judy J. Smith JTWRO
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Dan Druz
Arbitrator(s): Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | $816,000 |
| 17-01334 | 09/18/2018 | Claimant(s): Estate of Manlio Frank Ajello, Deceased, Emily Gordon
Claimant Lawyers(s): Emily Gordon
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Joseph Winter, Jeffrey L. Malek, Judy Man-Ling Lam
Hearing Site: Los Angeles, CA
| | $0 |
| 17-02232 | 09/18/2018 | Claimant(s): Avi Tansman Revocable Trust
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | $0 |
| 18-01115 | 09/17/2018 | Claimant(s): William Keyser
Claimant Lawyers(s): William Grant Keyser
Respondent(s): Fidelity Brokerage Services LLC, Timothy Averett
Respondent Lawyers(s): Ellen Bates
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | $0 |
| 18-01166 | 09/17/2018 | Claimant(s): Glynis Molloy
Claimant Lawyers(s): Glynis Molloy
Respondent(s): Robert Berg, Summit Brokerage Services.
Respondent Lawyers(s): Robert Eugene Berg, Thomas Vays
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
| | $16,825 |
| 16-02729 | 09/14/2018 | Claimant(s): Linda Manderino, Trustee of Roma Beth
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Donald N. Tolin, Rowland Denman, Susan A. Berson
Hearing Site: Wichita, KS
| | Expungement |
| 18-01018 | 09/14/2018 | Claimant(s): Alan Jackson, Edwin Bishop
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David C. Franceski
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 16-03064 | 09/14/2018 | Claimant(s): Vincent Farricielli
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Caeron McClintock, Edward Daigneau, John Parmigiani, Robert Costomiris, Allied Millennial Partners, EJ Sterling LLC
Respondent Lawyers(s): Caeron Arlington McClintock, Martin Unger
Arbitrator(s): Robert E. Anderson, Sheri J. Caplan, Robert M. Singer
Hearing Site: Hartford, CT
| | $30,000 |
| 18-00104 | 09/14/2018 | Claimant(s): Steve Potysman
Claimant Lawyers(s): Steve Potysman
Respondent(s): Bryce Danley
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | $0 |
