| 17-00360 | 08/13/2018 | Claimant(s): Mary Shea, Patrick Shea
Claimant Lawyers(s): Adam Gana
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): Compliance Officer
Arbitrator(s): Tracy L. Allen, Michael S. Jordan, David E. Jarvis
Hearing Site: Milwaukee, WI
|  | $4,978,000 |
| 18-00375 | 08/13/2018 | Claimant(s): Mukund Vasa
Claimant Lawyers(s): Mukund L. Vasa
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Las Vegas, NV
| | $0 |
| 18-00725 | 08/13/2018 | Claimant(s): Kelly Fluharty
Claimant Lawyers(s): Kelly Fluharty
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Susan M. Thevenet
Hearing Site: Des Moines, IA
| | $23,799 |
| 18-00914 | 08/13/2018 | Claimant(s): Gordon Siu
Claimant Lawyers(s): Gordon Siu
Respondent(s): Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Otis E. Hackett
Hearing Site: San Diego, CA
| | $0 |
| 16-03273 | 08/10/2018 | Claimant(s): Rosemary Perera, Rosemary Perera IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Syndicated Capital.
Respondent Lawyers(s): Natalie N. FitzGerald
Arbitrator(s): Richard J. Stall, Alan M. Rosen, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 17-01291 | 08/10/2018 | Claimant(s): SPJST
Claimant Lawyers(s): Hamilton Rial
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Clement Osimetha, Martin Lowy, Mark Leslie Burdette
Hearing Site: Dallas, TX
| | Expungement |
| 17-01767 | 08/10/2018 | Claimant(s): Denise Fry, Donna Sullivan, Denise M. Fry Living Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Tamara Steele
Respondent Lawyers(s): Robert L. Hartley
Arbitrator(s): Lynn Hirschfeld Brahin, Julia Church Kozicki, Jill Elise Vestal
Hearing Site: Indianapolis, IN
| | $226,908 |
| 18-00730 | 08/10/2018 | Claimant(s): Linda Tucker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bryce M. Cullinane
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $29,551 |
| 15-03185 | 08/09/2018 | Claimant(s): Sukhminder Pannu and Prabhjot Dillion
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): David Luger
Arbitrator(s): Keith Roberts, Clive I. Morrick, Michele S. Riley
Hearing Site: New York, NY
| | $0 |
| 16-03651 | 08/09/2018 | Claimant(s): Joseph Metkoff and Mary Metkoff
Claimant Lawyers(s): David E. Robbins
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer Woods Burke
Arbitrator(s): Howard L. Sobel, Maya Steinitz, Steven C. Kasarda
Hearing Site: New York, NY
| | $0 |
