| 17-02269 | 09/10/2018 | Claimant(s): GWYN I Mack Trust u/a dated 7/30/14
Claimant Lawyers(s): Lawrence W. Byrne
Respondent(s): Steven Below, U.S. Bancorp Investments.
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Theodore W. Wrobleski, Lynn Hirschfeld Brahin, Stephen Conrad Fedota
Hearing Site: Chicago, IL
|  | $0 |
| 17-02418 | 09/10/2018 | Claimant(s): Gabriel Ivan
Claimant Lawyers(s): Gabriel Ivan
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Anna M. Fanelli
Hearing Site: New York, NY
| | $300 |
| 18-01270 | 09/10/2018 | Claimant(s): Raymond Richard
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): Jean Baun
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $18,536 |
| 17-01934 | 09/07/2018 | Claimant(s): Courtia Worth, Pamela Graft Revocable Trust, Yellow Rose of Texas Trust
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Alexandra Lebenthal, James Lebenthal, Myles Blechner
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Linda J. Baer, Arthur Neil Tolciss, Richard Gee
Hearing Site: New York, NY
| | Expungement |
| 17-01857 | 09/05/2018 | Claimant(s): IRA of Jonathan M. Seltzer, IRA of Susan O. Seltzer, SEP IRA of Jonathan M. Seltzer, Rev Trust of Jonathan M. Seltzer, Rev Trust of Susan O. Seltzer
Claimant Lawyers(s): Jonathan and Susan Seltzer
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen Bright
Arbitrator(s): Ilene T. Gormly, Tina Alison Davis, Rick Gale Doty
Hearing Site: Denver, CO
| | $0 |
| 17-03461 | 09/04/2018 | Claimant(s): Bi-Zheng Liu, Jason Lin
Claimant Lawyers(s): Ying Zhou
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Patrick R. Westerkamp, Lorrie E Whitfield, Christopher Scott Conner
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 18-01144 | 09/04/2018 | Claimant(s): Edmund F. Turek IMA
Claimant Lawyers(s): Brian T. Giles
Respondent(s): PNC Investments
Respondent Lawyers(s): Jason E. Hazlewood
Arbitrator(s): Stuart D. Summers, Michael J. Meeusen, Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | $0 |
| 17-01933 | 08/31/2018 | Claimant(s): Applied Medical Research Inc.
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): USAA Financial Advisors.
Respondent Lawyers(s): Theodre C. Schultz
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
| 18-01040 | 08/30/2018 | Claimant(s): Timothy Cusick
Claimant Lawyers(s): William P. Keith
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kevin K. Forrester, Brian William Heublein, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Expungement |
| 17-02660 | 08/30/2018 | Claimant(s): Jerrold Flatt
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Robert J. Scafuri, Verne R. Gray, David E. Jarvis
Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |
