| 16-03342 | 02/23/2018 | Claimant(s): Karen Johnston
Claimant Lawyers(s): Aaron Israels
Respondent(s): Phillip Mekas, Thomas Brenner, First American Securities.
Respondent Lawyers(s): Booker T. Coleman, Joseph H. Spiegel, Thomas Brenner
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
|  | Expungement |
| 16-02594 | 02/23/2018 | Claimant(s): Carol Rizzo
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Brian G. Mooney, Nicholas John Taldone, Ian S. Greig
Hearing Site: Tampa, FL
| | $0 |
| 17-00400 | 02/22/2018 | Claimant(s): Estate of Dorothy R. Sommerer
Claimant Lawyers(s): Kathleen R. Wall
Respondent(s): Matthew Peregoy
Respondent Lawyers(s): Matthew Earl Peregoy
Arbitrator(s): Louis H. Miron, Edward James O'Dowd, Lucille Theresa Alfano
Hearing Site: Newark, NJ
| | $0 |
| 17-02695 | 02/22/2018 | Claimant(s): James Starling
Claimant Lawyers(s): James Ralph Starling
Respondent(s): Douglas Hornberger, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Michele Ann Ledo
Hearing Site: Raleigh, NC
| | $425 |
| 17-02723 | 02/21/2018 | Claimant(s): Martin Hack
Claimant Lawyers(s): Martin Hack
Respondent(s): Barry Rubin
Respondent Lawyers(s): Tanya S. Lambrechts
Arbitrator(s): Marie G. Peterson
Hearing Site: Boca Raton, FL
| | $13,689 |
| 17-01354 | 02/20/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): John Kelley
Respondent Lawyers(s): John R. Kelley
Arbitrator(s): Steven P. Gregory, David A. Schuler, Brock B. Gordon
Hearing Site: Birmingham, AL
| | Expungement |
| 16-01519 | 02/20/2018 | Claimant(s): Merle Propp, Robert Propp, Merle Carter Family Trust dated March 5,
Claimant Lawyers(s): Kristin M. Cano, Steven L. Stern
Respondent(s): Wells Fargo Advisors, Jackson National Life Distributors LLC
Respondent Lawyers(s): Kevin K. Fitzgerald, Patrick Y. Yoo
Arbitrator(s): Joseph Winter, Martin J. Kotowski, Steven Cohen
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-01472 | 02/20/2018 | Claimant(s): Brian Campbell
Claimant Lawyers(s): Brian M. Campbell
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Lawton Graves
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02247 | 02/16/2018 | Claimant(s): Robert and Cherie Kirk
Claimant Lawyers(s): Robert D. Kirk
Respondent(s): Brian Filizetti, Debra Underwood, Kyle Edsall, Lisa Lawrence, Invest Financial Corporation, Thomas Martell
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Timothy J. Kroll, Donald Dreyfus, Delores Manwar
Hearing Site: Phoenix, AZ
| | Expungement |
| 17-00750 | 02/16/2018 | Claimant(s): Elizabeth Nickens
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): Christopher Bennett, J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Andrea M. Greene
Arbitrator(s): Sharon R. Merriman, Barry Goldman, James E. Schlottmann
Hearing Site: Louisville, KY
| | $445,000 |
