| 18-00654 | 09/14/2018 | Claimant(s): Jeffrey Oligny
Claimant Lawyers(s): Jeffrey Oligny
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Steven T. Stern
Hearing Site: Manchester, NH
|  | $0 |
| 17-01868 | 09/13/2018 | Claimant(s): Ginger Chapin, Lionel Dupont, Steven Dupont, Eva M. Duponte Revocable Trust, Lionel V. Duponte Revocable Trust
Claimant Lawyers(s): Ginger Dupont
Respondent(s): Pruco Securities., MML Investors Services
Respondent Lawyers(s): Andrew S. Azarmi, Julie E. Ravis
Arbitrator(s): Robert Titus, Catherine Stewart, Michael P. Breton
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
| 17-02179 | 09/13/2018 | Claimant(s): Margaret Higginbotham, The Margaret C. Higginbotham Trust
Claimant Lawyers(s): David Meyer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Robert J. Scafuri, Joseph R. Soraghan, Sarah R. Cole
Hearing Site: Columbus, OH
| | Expungement |
| 18-00918 | 09/12/2018 | Claimant(s): Jeffry Kraus
Claimant Lawyers(s): Jeffrey Peter Kraus
Respondent(s): Daniel Davison
Respondent Lawyers(s): Daniel T. Davison
Arbitrator(s): Allan Robert Ettinger, Marcia Bonita Gevers, Diane Nauer
Hearing Site: Chicago, IL
| | Expungement |
| 17-00629 | 09/12/2018 | Claimant(s): Joe Zuech, Wendy Zuech
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Henry J. Ackels, Mary Elizabeth Skelnik, Larry Adair
Hearing Site: Dallas, TX
| | Expungement |
| 18-00317 | 09/12/2018 | Claimant(s): Gail Schneider, Gail Schneider IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-01699 | 09/11/2018 | Claimant(s): Tastyworks.
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Babu Ramaraj
Respondent Lawyers(s): Babu Ramaraj
Arbitrator(s): Carl F. Bowmer
Hearing Site: Richmond, VA
| | $0 |
| 18-01689 | 09/10/2018 | Claimant(s): Tastyworks.
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Grace Seo
Respondent Lawyers(s): Grace Seo
Arbitrator(s): Phillip Weitzman
Hearing Site: New York, NY
| | $0 |
| 17-01346 | 09/10/2018 | Claimant(s): Solomon Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Steven Gerard Goerke, Will Murphy, Thomas Fred Meyer
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-02696 | 09/10/2018 | Claimant(s): Jane Steinman, Jane E Steinman IRA, Ruth Steinman Granddaughter IRR Trust, Ruth Steinman Granddaughter's Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Kevin Lee
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
| | $103,986 |
