| 17-00474 | 08/22/2018 | Claimant(s): James Grimes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Trustmont Financial Group.
Respondent Lawyers(s): William T. Krzton
Arbitrator(s): Arthur J. Zelenak, Frank Brenner, Carol B. Robinson
Hearing Site: Tampa, FL
|  | $1,046,100 |
| 17-00648 | 08/22/2018 | Claimant(s): Robert Price, Robert Alan Price, IRA
Claimant Lawyers(s): Theodore C. Houdek
Respondent(s): KCD Financial.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Lawrence R. Maxwell, James W. Kerr, Christian Dennie
Hearing Site: Dallas, TX
| | Expungement |
| 17-00842 | 08/22/2018 | Claimant(s): Tafney Snowden, I.R.A., Tafney Snowden and William E. Coen
Claimant Lawyers(s): William E. Coen
Respondent(s): Bernard Breton, Brett Harrison, David Martin, Gerald Harvey, Paul Ewing, Cetera Advisors LLC
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Mark S. Foster, Leonard Arthur Nelson, Lynn Hirschfeld Brahin
Hearing Site: Kansas City, MO
| | Expungement |
| 18-00298 | 08/22/2018 | Claimant(s): Bradley Von Essen
Claimant Lawyers(s): Bradley Von Essen
Respondent(s): John Sclafani, Morgan Wilshire Securities.
Respondent Lawyers(s): John V. Sclafani, Michael Finnan
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $425 |
| 18-00977 | 08/22/2018 | Claimant(s): Marc Lowenthal, UTMA
Claimant Lawyers(s): Garry Lowenthal
Respondent(s): Feltl & Company
Respondent Lawyers(s): Mitchell Edwards
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $88 |
| 18-00204 | 08/21/2018 | Claimant(s): Michael Huddles
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Joseph Delay
Respondent Lawyers(s): Joseph Delay
Arbitrator(s): Fred S. Pieroni, Lise Gabrielle Hunter, Joan Seewald Brodsky
Hearing Site: New York, NY
| | Expungement |
| 17-01530 | 08/21/2018 | Claimant(s): Mel Trust
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Kathryn J. Toronto, William Michael Samsel, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
| 15-01896 | 08/20/2018 | Claimant(s): Alberto Rosario, Alexandra Amador, Angel Morey-Noble, Carlos Caban, Jorge Medina, Jorge Pesquera, Jose Zorrilla, Pedro Martinez Parsi, Warynex Hernandez
Claimant Lawyers(s): Adam M. Nicolazzo, Benjamin Quinones Lebron, Jenice L. Malecki
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Carlos Bobonis-Gonzalez, Peter Neiman
Arbitrator(s): Jill Pilgrim, Enrique Javier Menocal, Wanda Esteras
Hearing Site: San Juan, PR
| | Expungement |
| 16-01792 | 08/20/2018 | Claimant(s): Camille Greco
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Israel Torres, Meyers Associates, L.P.
Respondent Lawyers(s): Israel Torres, John Stalanski
Arbitrator(s): Stephen L. Lister, Edward W. Morris, Bruce Edward Walenczyk
Hearing Site: Newark, NJ
| | $397,300 |
| 17-00942 | 08/20/2018 | Claimant(s): David E. Vittori, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Theodore W. Wrobleski, Mark L Miller
Hearing Site: Chicago, IL
| | $0 |
