| 16-02959 | 02/08/2018 | Claimant(s): Linda Oakley TTE of L.Oakley Living Trst
Claimant Lawyers(s): Michael Hill
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Karl A. Vogeler, Andrew Michael Bonderud, Bobby R Wimberly
Hearing Site: Jacksonville, FL
|  | $0 |
| 17-00069 | 02/07/2018 | Claimant(s): Estate of Louis P. Castellarin
Claimant Lawyers(s): John S. Chapman
Respondent(s): Doreen Weber, Jeffrey Schuh, Kevin Larson
Respondent Lawyers(s): F. Chet Taylor
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $20,000 |
| 16-00060 | 02/06/2018 | Claimant(s): Carl Osborne III IRA, Carl Osborne III SEP IRA, Susan Osborne SEP IRA
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Meyers, Meyers Associates, L.P.
Respondent Lawyers(s): Bruce Meyers, Gregory S. Sparer
Arbitrator(s): Brian J. Burstin, Charles F. Titterton, Jay Alan Kranis
Hearing Site: New York, NY
| | $45,425 |
| 16-02083 | 02/02/2018 | Claimant(s): Julius Berkowitz&Estelle Berkowitz Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Mark C. Perry, Robert Lawrence Ostrov, Stacey Rosenthal
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-02893 | 02/02/2018 | Claimant(s): Brian Evans
Claimant Lawyers(s): Brian Evans
Respondent(s): Motif Investing.
Respondent Lawyers(s): Robert Salvador
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: Honolulu, HI
| | $0 |
| 16-03011 | 02/01/2018 | Claimant(s): Karen Caldwell
Claimant Lawyers(s): Karen G. Caldwell
Respondent(s): Wells Fargo Advisors, Mary Stockinger
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Mary E. Woytek, Frank Samuel Perri, Brock B. Gordon
Hearing Site: Charlotte, NC
| | Expungement |
| 17-00340 | 02/01/2018 | Claimant(s): Irrev Trust of Roger and Gladys Linder
Claimant Lawyers(s): Casey D Marshall
Respondent(s): Ameriprise Financial Services., Jerome Hill, John Gruber
Respondent Lawyers(s): Joyce Svoboda, Kim M. Ruckdaschel-Haley
Arbitrator(s): Frederick Ramos, Steven M. Bialick, Matthew E. Piermantier
Hearing Site: Minneapolis, MN
| | Expungement |
| 17-01756 | 02/01/2018 | Claimant(s): Brian Wolf
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Danilo Fuentes, Dawson James Securities.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $3,600 |
| 15-01481 | 01/31/2018 | Claimant(s): Eunice Becker
Claimant Lawyers(s): Frank R. Schirripa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stuart Daniels
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Ruthann Granito, Sidney N. Weiss, Robert E. Anderson
Hearing Site: New York, NY
| | Expungement |
| 16-00720 | 01/31/2018 | Claimant(s): Jerry McMillon, Jerry A. McMillon Living Trust Under Agr
Claimant Lawyers(s): Mark A. Pruner
Respondent(s): Jason Jaffee, Wells Fargo Advisors, Wells Fargo Securities, John Lee, Wells Fargo Company
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Carlos Richard Mangum, Dean J. Dietrich, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
