| 16-03643 | 03/06/2018 | Claimant(s): Mark Watson
Claimant Lawyers(s): Chad S. Pehrson
Respondent(s): Brandon Stimpson, Allegis Investment Advisors, Allegis Investment Services
Respondent Lawyers(s): Tamara A. Seelman
Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Kathy L. Eisenmenger
Hearing Site: Salt Lake City, UT
|  | $404,480 |
| 17-02518 | 03/05/2018 | Claimant(s): Annick Iwanowski
Claimant Lawyers(s): Alise M Johnson
Respondent(s): Brian Elias
Respondent Lawyers(s): Brian Elias
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Miami, FL
| | Expungement |
| 16-02369 | 03/05/2018 | Claimant(s): Ann Ellingson, Ann B. Ellingson IRA Accounts, Ellingson Family Partners Business Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Neil S. Jasper, Michael M. Hachigian, Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-03079 | 03/05/2018 | Claimant(s): The Robert A. Weitzel Trust
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David Buffa
Arbitrator(s): Kathleen P. Helbig-Hannan, Eileen B. Vernon, Ronald Edward Alexander
Hearing Site: Cleveland, OH
| | Expungement |
| 17-00039 | 03/05/2018 | Claimant(s): Jeffrey Nadu, Patricia Nadu, Jeffrey Nadu IRA, Patricia Nadu IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): George Reath, Donald S. Bauman, Thomas E Kopil
Hearing Site: Philadelphia, PA
| | Expungement |
| 16-02685 | 03/05/2018 | Claimant(s): Michael Byrd IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Stephen Oliveira, Equinox Securities.
Respondent Lawyers(s): Stephen Michael Oliveira
Arbitrator(s): Ian S. Greig
Hearing Site: Jacksonville, FL
| | $0 |
| 17-00430 | 03/05/2018 | Claimant(s): Alan Fields
Claimant Lawyers(s): Jon E. Drucker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): John E. Ohashi, Neil S. Jasper, Michael John Florio
Hearing Site: Los Angeles, CA
| | $0 |
| 15-03256 | 03/02/2018 | Claimant(s): Estate of Barbara Weiden Schwartz Fischl
Claimant Lawyers(s): Douglas Desjardins
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): John F. Duane, Linda J. Baer, Michael Jaffe
Hearing Site: New York, NY
| | $0 |
| 15-01173 | 03/01/2018 | Claimant(s): Dora De Cortes, Ignacio Gelpi, Copesa., Gran Almirante.
Claimant Lawyers(s): Francisco Pujol, Harold D. Vincente
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Linette Figueroa-Torres
Arbitrator(s): Andrea U. Calve, Richard Carl Smukler, James Howell Garrison
Hearing Site: San Juan, PR
| | Expungement |
| 14-01439 | 02/28/2018 | Claimant(s): Mary Anderson, William Anderson, A.M. Anderson Properties, L.C., Anderson Properties., NNN Parkway Corporate Plaza 21, Mark Anderson Properties
Claimant Lawyers(s): Steven V. Hunter
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Paul D. Gamez
Arbitrator(s): Donald N. Tolin, Verne R. Gray, Alain Frecon
Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |
