| 17-01547 | 05/24/2018 | Claimant(s): Peter Lawrence, The Norma S. Pappas Trust U/A 7/12/1993
Claimant Lawyers(s): Jeremy Scott Hyndman
Respondent(s): Bao Vu, TD Ameritrade., Steve Kim
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): Helen Marinak Blohm, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
|  | $0 |
| 17-02401 | 05/24/2018 | Claimant(s): Russell Hartsfield IRA, Russell and Margaret Hartsfield
Claimant Lawyers(s): Richard Lewins
Respondent(s): Craig Hodges, First Dallas Securities Incorporated, Hodges Capital Management Inc.
Respondent Lawyers(s): Todd A. Murray
Arbitrator(s): Louis J. Weber, Catherine M. Norman, Larry Adair
Hearing Site: Dallas, TX
| | $76,000 |
| 16-01829 | 05/23/2018 | Claimant(s): Bonnie Kaplan IRA, Eric Kaplan and Bonnie Kaplan JTWROS, E.Kaplan Ttee Multidisc.Bus. App. 401(k)
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Richard J. Kaplan, Michael J. Quarequio, Sidney J. Wartel
Hearing Site: Boca Raton, FL
| | $862,117 |
| 16-02574 | 05/23/2018 | Claimant(s): Arlene H. Haft IRA, Richard J. Haft IRA, Richard J. Haft Living Trust
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): George G. Kurschner, Mark I. Roth, Scott Manker
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-02823 | 05/23/2018 | Claimant(s): James Holstine
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Gary Demetri, Robert Marcus, Spartan Capital Securities
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Terry F. Peppard, Ronald L. Lantz, Kenneth M. Cherrier
Hearing Site: Des Moines, IA
| | $22,108 |
| 17-00285 | 05/23/2018 | Claimant(s): Stuart Sherman
Claimant Lawyers(s): Becky Steiger
Respondent(s): Sagepoint Financial., Thomas Goodson, AmeriFlex
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-00020 | 05/22/2018 | Claimant(s): Adam Goldstein, Jared Goldstein, Robert Goldstein, Estate of Herbert J. Goldstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley, Eugene Desoiza
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Carl Shechter, Edward R. Niederriter, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | $36,984 |
| 16-03005 | 05/22/2018 | Claimant(s): Carrol Schiller
Claimant Lawyers(s): Terrence M. Polich
Respondent(s): Morgan Stanley, Keith Bryan, Robert Frank
Respondent Lawyers(s): Jeremy S. Winer, Stephen L. Morgan
Arbitrator(s): Tracy L. Allen
Hearing Site: Milwaukee, WI
| | Expungement |
| 16-03121 | 05/22/2018 | Claimant(s): Terri Greenamyer Revocable Tr dtd 5/8/92
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): Wedbush Securities Inc., Karen Brady
Respondent Lawyers(s): John Stenson
Arbitrator(s): Mandel E. Himelstein, Evan A. Gould, Lei-Chala Indee Wilson
Hearing Site: San Diego, CA
| | Expungement |
| 17-02034 | 05/22/2018 | Claimant(s): Greg Morelli
Claimant Lawyers(s): John M. Sheldon
Respondent(s): Morgan Stanley & Co., Philipp Weisskopf
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Charles Orlove, Jacqueline Stanley Lustig, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $0 |
