| 13-00039 | 06/19/2018 | Claimant(s): Estate of Marion M. Young, Estate of Seymour R. Young, The Young Family Trust
Claimant Lawyers(s): Ford C. Ladd
Respondent(s): Christopher Cunningham, Wells Fargo Advisors, Fulcrum Securities
Respondent Lawyers(s): Andrew R. Park, Christopher Matthew Cunningham, William P. Behrens
Arbitrator(s): David Paul Clark, Carl William Noller, Patricia H. Latham
Hearing Site: Washington, DC
|  | $127,000 |
| 16-03033 | 06/19/2018 | Claimant(s): Jeffrey Lubore, Jill Lubore, Lawson, Long & Evans LP
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Langfred W. White, Mimi B. Osiason, Theodore Haynes
Hearing Site: Nashville, TN
| | Expungement |
| 17-02071 | 06/18/2018 | Claimant(s): Daniel Gallagher, Theresa Gallagher
Claimant Lawyers(s): David Neuman
Respondent(s): Ameritas Investment Corp.
Respondent Lawyers(s): Jamie B. Palfai
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
| | Dismissed by Rule 12206 |
| 17-02345 | 06/18/2018 | Claimant(s): Richard Walsh
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Trident Partners Ltd.
Respondent Lawyers(s): Eric J. Sussman
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | $16,778 |
| 17-02613 | 06/18/2018 | Claimant(s): Alice Irwin, Charles Irwin
Claimant Lawyers(s): Alice Louise Irwin, Charles Dail Irwin
Respondent(s): Cambridge Investment Research., Denver Nelson
Respondent Lawyers(s): Andrew J. Dorman, Gary Saretsky
Arbitrator(s): John F. Burns, Lynn Hirschfeld Brahin, Christy K. Radigan
Hearing Site: Columbus, OH
| | Dismissed by Rule 12206 |
| 17-01018 | 06/15/2018 | Claimant(s): Judith Craig
Claimant Lawyers(s): Theodor Swansen
Respondent(s): David McDonald, J.J.B. Hilliard, W.L. Lyons, Mark Kregor
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John J. Jordan, Steven T. Stern, Stephen J. Scherf
Hearing Site: Philadelphia, PA
| | Expungement |
| 15-03467 | 06/14/2018 | Claimant(s): James Schiller, Jean Schiller
Claimant Lawyers(s): Terrence Polich
Respondent(s): Morgan Stanley, Keith Bryan, Robert Frank
Respondent Lawyers(s): Jeremy S. Winer, Stephen L. Morgan
Arbitrator(s): P. J. Boylan, Susanne J. Hollander, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
| | Expungement |
| 16-03105 | 06/14/2018 | Claimant(s): Deborah Gartner
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Aaron Ray, Vanguard Capital
Respondent Lawyers(s): Aaron Christopher Ray, Jeffrey S. Kob
Arbitrator(s): Thomas Joseph Atkinson, Jack A. Helms, Alan E. Linden
Hearing Site: Orlando, FL
| | $90,300 |
| 18-00498 | 06/14/2018 | Claimant(s): Dale Spring
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Lon Faccini, Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb
Arbitrator(s): Richard R. Logsdon
Hearing Site: Jacksonville, FL
| | $0 |
| 17-00274 | 06/13/2018 | Claimant(s): Carey Bertsch, Deborah Williamson, Jeffrey Bertsch, Karin Kellogg, Michael McEnany, Pamela Bertsch, Randall Bertsch, Robin Bertsch, Vicki Bertsch, Virginia Bertsch, Walter Kellogg, Carey Bertsch IRA, Karin kellogg IRA, Robin Bertsch IRA, Vicki Bertsch IRA, Walter E. Kellogg, III IRA, Lyle E. Bertsche Revocable Trust u/s dtd, McEnany Williamson Revocable Living Trus, Virgnia L. Bertsch Revocable Trrust u/a, III Trust u/a dtd 2/2
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Ed Barkel
Arbitrator(s): I. Douglas Dunipace, Marc Kalish, David S. Eisenberg
Hearing Site: Phoenix, AZ
| | Expungement |
