| 17-00740 | 06/13/2018 | Claimant(s): Frank A. Rossi Sr and Catherine M. Rossi
Claimant Lawyers(s): Kevin T. O'Brien
Respondent(s): James Honaker, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Richard W. Dissen, L. Paul Kehoe, Ronald F Thompson
Hearing Site: Buffalo, NY
|  | $11,316 |
| 17-01023 | 06/13/2018 | Claimant(s): Leslie Baronian, The Birgitta Baronian Decedent's Trust
Claimant Lawyers(s): Cary S. Lapidus, Nancy C. Field
Respondent(s): Dustin Brown, RBC Capital Markets LLC
Respondent Lawyers(s): Abe Lampart, Michael M. Gless
Arbitrator(s): Carlos Richard Mangum, Minnie Loo, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | Expungement |
| 18-00056 | 06/12/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D Berg
Respondent(s): Jared Azriel
Respondent Lawyers(s): Jared Azriel
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | $0 |
| 15-00852 | 06/12/2018 | Claimant(s): Gail Fortune, Crost Imports.
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Harold White, Kathleen Shave, Louis Kittlaus, Ashton Capital Management.
Respondent Lawyers(s): Harold Carse White, Kathleen Ann Shave, Louis Karl Kittlaus
Arbitrator(s): Morris S. Getzels, Joseph C. Watson, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $2,145,300 |
| 17-02102 | 06/12/2018 | Claimant(s): Joseph Grusczak, William DeGraff, Joseph Grusczak IRA, William DeGraff IRA
Claimant Lawyers(s): Jeffrey Hellman
Respondent(s): Oppenheimer & Co.., Richard Baum, Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward, Ralph Izzo
Arbitrator(s): Robert L. Chase, Ira A. Auerbach, David R. Foley
Hearing Site: Hartford, CT
| | Expungement |
| 17-03323 | 06/12/2018 | Claimant(s): Christine Petraglia
Claimant Lawyers(s): Christine Petraglia
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | $0 |
| 17-00458 | 06/11/2018 | Claimant(s): Anita Eubank
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Quinly
Respondent Lawyers(s): Robert Gonser, Tara A. LaClair
Arbitrator(s): Joyce L. Hurley, Olivia J. Valentine, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-01576 | 06/11/2018 | Claimant(s): Julie Dunaway, Mark Dunaway
Claimant Lawyers(s): Robert F. Brown
Respondent(s): Larry Kohn, L.M. Kohn & Company
Respondent Lawyers(s): Joseph J. Dehner
Arbitrator(s): Stephen P. Calardo, Charles A. Palmer, Dale A. Crawford
Hearing Site: Cincinnati, OH
| | $0 |
| 16-00399 | 06/08/2018 | Claimant(s): Robynn Dorffi, Wesley Dorffi, Dorffi Family Trust dated 12/19/2003
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): David Snyder, Morgan Stanley & Co.
Respondent Lawyers(s): Lisa Bertain
Arbitrator(s): Arthur T. Berggren, Michael John Florio, Michael Richard Henri Post
Hearing Site: Los Angeles, CA
| | $0 |
| 16-03603 | 06/07/2018 | Claimant(s): Hugh and Amy (Betty) Mitchell
Claimant Lawyers(s): Charles A McCallum
Respondent(s): Brian Anderson, Raymond James Financial Services., Anderson Pewitt & AssociatesL Financial Holdings., Weybridge Capital Partners, GP
Respondent Lawyers(s): Aaron Furniss, Joel M. Everest, Richard Frankowski
Arbitrator(s): Harry G. Mason, J. Wesley Romine, Roslyn Barbee
Hearing Site: Birmingham, AL
| | Expungement |
