| 15-01415 | 04/25/2018 | Claimant(s): Richard Long
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): John Telfer, Stephen Grivas
Arbitrator(s): Gregory G. Gocek
Hearing Site: Kansas City, MO
|  | $49,223 |
| 17-00192 | 04/24/2018 | Claimant(s): Matthew Proman
Claimant Lawyers(s): Robert Miller
Respondent(s): Byron Roth, David Farina, Jared Schramm, Roth Capital Partners
Respondent Lawyers(s): John R. Loftus
Arbitrator(s): Fred S. Pieroni, Richard Gee, Walter Arthur Saurack
Hearing Site: New York, NY
| | Expungement |
| 17-01082 | 04/24/2018 | Claimant(s): Catherine Knight, William Knight
Claimant Lawyers(s): David Meyer
Respondent(s): Ernest Romer, Corecap Investments.
Respondent Lawyers(s): Ernest Julius Romer, Steven E. Mellen
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | $50,975 |
| 15-03228 | 04/24/2018 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): David Luger
Respondent(s): Huzaifa Husain
Respondent Lawyers(s): Huzaifa Husain
Arbitrator(s): Malcolm Edwin Whittaker, Mary Esther Escobedo, Julie Marie Miller
Hearing Site: Houston, TX
| | $0 |
| 16-02246 | 04/24/2018 | Claimant(s): Jacob Coronado
Claimant Lawyers(s): Henry D. Nunez
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, Mark Nance, Michael Muller, Wells Fargo Bank National Association
Respondent Lawyers(s): Michael Joseph Gomez
Arbitrator(s): Paul J. Dubow, Peter H. Daly, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $181,931 |
| 14-02693 | 04/23/2018 | Claimant(s): Mark Pogue
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): William E. Hartsfield, Jeff Abrams, Russell Phillips Gandy
Hearing Site: Dallas, TX
| | Expungement |
| 17-00754 | 04/23/2018 | Claimant(s): Bonita Fahrner
Claimant Lawyers(s): Bonita G. Fahrner
Respondent(s): Morgan Stanley, George Price
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Kimberly G.W. Day-Lewis
Hearing Site: Columbia, SC
| | $0 |
| 17-02369 | 04/23/2018 | Claimant(s): Thomas J. Swiston IRA, Thomas and Jane Swiston JT TEN
Claimant Lawyers(s): Thomas J. Swiston
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Helm Wright
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $0 |
| 17-03482 | 04/20/2018 | Claimant(s): Robert Ferreira
Claimant Lawyers(s): Robert E. Ferreira
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $925 |
| 17-01008 | 04/19/2018 | Claimant(s): Cat Trail Capital LLC
Claimant Lawyers(s): Ira Belsky
Respondent(s): Mark Martino, Axiom Capital Management.
Respondent Lawyers(s): Mark J. Hyland
Arbitrator(s): Paul Smith Besson, Charles W. Danis, James Rosenblum
Hearing Site: Hartford, CT
| | $0 |
