| 16-03686 | 07/31/2018 | Claimant(s): Claire Scalzo, Louis Scalzo, Louis Scalzo Family Marital DED Trust, Scalzo Family Bypass Trust, Scalzo Survivors Trust
Claimant Lawyers(s): Jeffrey Pederson, Richard A. Nervig
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): David H. S. Commins, George King, Val D. Hornstein
Hearing Site: San Francisco, CA
|  | Expungement |
| 17-00640 | 07/31/2018 | Claimant(s): David Riker, Lynne Baldwin
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Allen Kilik, Monroe Mitchel, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-01276 | 07/31/2018 | Claimant(s): Anthony Fitzhenry
Claimant Lawyers(s): Anthony Fitzhenry
Respondent(s): Bruce Guarino, Dennis Grubelic, Douglas Guarino, Glen Stifelman, Rockwell Global Capital LLC
Respondent Lawyers(s): Dennis Grubelic, Glen Robert Stifelman, Robert M. Bursky
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
| | $0 |
| 17-00821 | 07/27/2018 | Claimant(s): David Ulrich
Claimant Lawyers(s): Thomas H. Brandt
Respondent(s): Roosevelt & Crossorporated
Respondent Lawyers(s): Sandra P. Lahens
Arbitrator(s): Tracy L. Allen, Patrick M. Markey, John C. Aten
Hearing Site: Buffalo, NY
| | Expungement |
| 18-00212 | 07/27/2018 | Claimant(s): Alan Schlesinger SEP
Claimant Lawyers(s): Alan Schlesinger
Respondent(s): R. Seelaus & Co..
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): John B. Sochacki
Hearing Site: Boca Raton, FL
| | $0 |
| 17-00216 | 07/26/2018 | Claimant(s): Howard Shelton, Velma Shelton, Shelton's Best Produce Co., Southern Traditions Yam Co.
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Ashley Lucile Belleau, Jeffrey R. Jury, William Gilbert Faulk
Hearing Site: New Orleans, LA
| | Expungement |
| 15-01201 | 07/24/2018 | Claimant(s): AC Scout Trading
Claimant Lawyers(s): Steven P. Gomberg
Respondent(s): Newedge USA, SG Americas Securities
Respondent Lawyers(s): William J. Nissen
Arbitrator(s): Sandra Gale Behrle, Anthony J. Raimondi, James Anthony Maccaro
Hearing Site: New York, NY
| | $0 |
| 17-03486 | 07/24/2018 | Claimant(s): Kathy Sonabend, Sol Sonabend
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kim J. Gustafson
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $0 |
| 17-01297 | 07/23/2018 | Claimant(s): Christopher Eriksson
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): Citigroup Global Markets., Paul Ulanich
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | $30,000 |
| 17-00452 | 07/20/2018 | Claimant(s): Andres Romero
Claimant Lawyers(s): David Neuman
Respondent(s): Legend Securities.
Respondent Lawyers(s): Salvatore C. Caruso
Arbitrator(s): Thomas R. Bromberg
Hearing Site: Albuquerque, NM
| | $48,266 |
