| 17-00166 | 06/07/2018 | Claimant(s): Thomas Yague
Claimant Lawyers(s): Thomas L. Gourde
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Owen
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Mario H. Metzger, Benjamin F. Breslauer, Robert Dean McKinley
Hearing Site: Los Angeles, CA
|  | Expungement |
| 17-00672 | 06/07/2018 | Claimant(s): Kenneth A. Manning, Executor
Claimant Lawyers(s): David K Silverberg
Respondent(s): Michael Giokas, Giokas Wealth Advisors
Respondent Lawyers(s): Michael Giokas
Arbitrator(s): James S. Parker, Krista Gottlieb, Gary E Vickers
Hearing Site: Buffalo, NY
| | $80,768 |
| 18-00027 | 06/07/2018 | Claimant(s): Huy Hoang
Claimant Lawyers(s): Huy Ngoc Hoang
Respondent(s): E*Trade Securities LLC, E*Trade Futures LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | $300 |
| 17-00712 | 06/06/2018 | Claimant(s): Kirk Nelson
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Murray S. Levin, Philip J. Glick, Mary C. Davis
Hearing Site: Omaha, NE
| | $216,490 |
| 17-01510 | 06/06/2018 | Claimant(s): Wendy Marcus
Claimant Lawyers(s): Paul A. Lieberman
Respondent(s): Richard Feldman, Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Paul J. Camilleri, Richard W. Cutler, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 17-02357 | 06/06/2018 | Claimant(s): Seval Oz
Claimant Lawyers(s): Seval F. Oz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Fern M. Laethem
Hearing Site: San Francisco, CA
| | $1,592 |
| 17-02443 | 06/05/2018 | Claimant(s): Columbus- Sierra, Peter Sierra Living Trust dtd 4/15/14
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Edith N. Dinneen, Thomas Joseph Atkinson, Ronald Charles Waters
Hearing Site: Orlando, FL
| | Dismissed by Rule 12206 |
| 16-03046 | 06/04/2018 | Claimant(s): Hilary Musser, Cooper Management Co.
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Mitchell Silverman, Raymond, James & Associates.
Respondent Lawyers(s): Dominique E. Heller, Gianluca Morello
Arbitrator(s): Edward R. Niederriter, Donald Theodore Ryce, Harris Gally
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-03687 | 06/04/2018 | Claimant(s): Robert Dekas
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Michael S. Matek, Anthony P. Pecora, Richard A. Berman
Hearing Site: Chicago, IL
| | $800,000 |
| 16-02503 | 06/04/2018 | Claimant(s): Brent Adkison, Joan Adkison
Claimant Lawyers(s): William E. Goodwin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Kenneth R. Starr, Thomas Joseph Atkinson, Ralph O. Bolt
Hearing Site: New Orleans, LA
| | $0 |
