| 16-01691 | 07/19/2018 | Claimant(s): Michael Friar, Ascend Strategic Partners
Claimant Lawyers(s): Robin M. Pearson
Respondent(s): Heiner Meldner, Cubic Tech Corporation
Respondent Lawyers(s): Cory L. Braddock
Arbitrator(s): Jay Lawrence Witkin, Sheila Grinell, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
|  | $0 |
| 17-00336 | 07/19/2018 | Claimant(s): Thomas Wolf
Claimant Lawyers(s): Glenn W. Merrick
Respondent(s): Omega Wireless
Respondent Lawyers(s): Timothy R. Beyer
Arbitrator(s): William F. Skewes, Patricia M. Bottoms, Tina Alison Davis
Hearing Site: Denver, CO
| | $0 |
| 16-01066 | 07/19/2018 | Claimant(s): Sammy Duncan, Sylvia Duncan, The Sammy and Sylvia Duncan Revocable Tr
Claimant Lawyers(s): Scott Abeles
Respondent(s): Wells Fargo Advisors, Marc Rogers
Respondent Lawyers(s): Sara Soto
Arbitrator(s): James F. Zotter, Robert David Miller, Matthew Swihart
Hearing Site: Portland, OR
| | $8,678,200 |
| 14-03249 | 07/19/2018 | Claimant(s): Prime Properties of NY 1.
Claimant Lawyers(s): Kenneth B. Schwartz
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): David S. Richan
Arbitrator(s): Louis P. Wagman, Paul C. Tang, John Michael Bergin
Hearing Site: New York, NY
| | $0 |
| 17-03338 | 07/19/2018 | Claimant(s): Michael Loesberg
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $0 |
| 17-02199 | 07/18/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D Berg
Respondent(s): Lance Shaw
Respondent Lawyers(s): Lance Shaw
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
| | $0 |
| 17-00997 | 07/17/2018 | Claimant(s): John Williams
Claimant Lawyers(s): Ann K. Sullivan
Respondent(s): Mark Stanley, Michael Matthews, Next Financial Group.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Robert H. Putnam, Gordon M. Wase, Donald B. Katz
Hearing Site: Norfolk, VA
| | $60,000 |
| 15-03454 | 07/17/2018 | Claimant(s): Market Bridge Capital Global Macro
Claimant Lawyers(s): Robert Miller
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Joan Marie Chiusano, Joseph I. Liebman, Sandra Holtzman
Hearing Site: New York, NY
| | $0 |
| 17-01664 | 07/16/2018 | Claimant(s): Anna Wilczynski, Anna U. Wilczynski Liviing Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Aegis Capital Corp., Capitol Securities Management.
Respondent Lawyers(s): Gary A. Varnavides, Janet K. DeCosta
Arbitrator(s): David Paul Clark, Patricia H. Latham, Keith Daniel Greenberg
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
| 17-00043 | 07/16/2018 | Claimant(s): Mary Millman
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): Ankit Sahu, UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. McLeod, Robert J. Girard
Arbitrator(s): Robert M. Smith, Kevin C. Coleman, Glenn Paul Gilbert
Hearing Site: San Francisco, CA
| | $0 |
