| 17-02758 | 05/18/2018 | Claimant(s): Paul Garrett
Claimant Lawyers(s): Daniel B. Meyer
Respondent(s): Elaine Andreas, Lamoine Andreas
Respondent Lawyers(s): Lamoine (Lee) Andreas
Arbitrator(s): Michael S. Matek, William A. Stephenson, Eileen Joan Carpenter
Hearing Site: Denver, CO
|  | Expungement |
| 16-02741 | 05/18/2018 | Claimant(s): Blanca Toledo de Moreda, The Estate of the Late Manuel A. Moreda
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Santander Securities LLC
Respondent Lawyers(s): Ana Margarita Rodriguez Rivera, Keith Olin
Arbitrator(s): Nancy J. Cliff, Sherry R. Wetsch, Jay B. Bachar
Hearing Site: San Juan, PR
| | Expungement |
| 17-00129 | 05/18/2018 | Claimant(s): Wood Breazeale
Claimant Lawyers(s): James F. Willeford
Respondent(s): Regan Leopold, Lincoln Financial Distributors.
Respondent Lawyers(s): Nancy Scott Degan
Arbitrator(s): Jeff Abrams, Lynne R. Stern, Brian P. Jakes
Hearing Site: New Orleans, LA
| | Expungement |
| 17-00109 | 05/17/2018 | Claimant(s): UBS Financial Services Inc. Of PR
Claimant Lawyers(s): Christopher N. Manning
Respondent(s): David Efron
Respondent Lawyers(s): David Efron
Arbitrator(s): Christopher J. Klein, Peter A. Roche, Carl Henry Perdue
Hearing Site: Miami, FL
| | $0 |
| 18-00140 | 05/17/2018 | Claimant(s): Bartlett Miller
Claimant Lawyers(s): Bartlett L Miller
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Thomas D. Reese
Hearing Site: Portland, OR
| | $0 |
| 17-00753 | 05/16/2018 | Claimant(s): David Fourney
Claimant Lawyers(s): Bruce Sanders
Respondent(s): Brian Bogart, Morgan Stanley, James Bogart, John Giles
Respondent Lawyers(s): David E. Robbins, Jeremy S. Winer
Arbitrator(s): Walter Michael Mathews
Hearing Site: Washington, DC
| | Expungement |
| 17-02047 | 05/16/2018 | Claimant(s): Benel Inc
Claimant Lawyers(s): Rone Oren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Sandra L. Malek, Milton N. Gross, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
| 17-02353 | 05/16/2018 | Claimant(s): Frank Iosso Jr, Marie G. Iosso et al.
Claimant Lawyers(s): Frank Iosso
Respondent(s): Daniel Magier, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Robert E. Anderson, Annamaria Boccia Smith, Morton S. Bunis
Hearing Site: Newark, NJ
| | Expungement |
| 16-03026 | 05/15/2018 | Claimant(s): Dana Korr, David Korr, Jill Korr, Jonathan Korr
Claimant Lawyers(s): Marc S Gottlieb
Respondent(s): Wells Fargo Advisors, Peter Stabell
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Howard L. Sobel, Evdokia Sofos, Jeffrey P. Bachmann
Hearing Site: New York, NY
| | Expungement |
| 17-01188 | 05/15/2018 | Claimant(s): Peggy Batson, The Estate of Evelyn C. Batson, Peggy L. Batson on behalf of her IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Brian James Tagtmeier, Chermaine Nkomo, Daniel L. Fulkerson
Hearing Site: Houston, TX
| | $35,000 |
