| 16-03385 | 01/19/2018 | Claimant(s): Richard Ausfahl
Claimant Lawyers(s): John A. Brinkley
Respondent(s): Charles Smith, David Hyman, Gregory Smith, G.L.S. & Associates.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): D. Bruce Shine, Harry G. Mason, Richard K. Smith
Hearing Site: Nashville, TN
|  | $0 |
| 17-00738 | 01/19/2018 | Claimant(s): Joanne and Vito Zanni
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Fifth Third Securities., Todd Morgan
Respondent Lawyers(s): Robert Zimmerman
Arbitrator(s): Lee H. Goodman, Akili Lucilla Estrella, Michael John Gallagher
Hearing Site: Chicago, IL
| | $0 |
| 16-03179 | 01/18/2018 | Claimant(s): Gigi Jordan, The Hawk Mountain LLC, Michelle Mitchell, Intercession Trust
Claimant Lawyers(s): Daniel J. Kornstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Judith C. Zerden, Ronald F. Rosner, Maya Steinitz
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 16-01860 | 01/16/2018 | Claimant(s): Marita Ashmore, Michael Ashmore
Claimant Lawyers(s): Robert S. Banks
Respondent(s): Eric Willer, Kevin Lane, Michael Conte, Fusion Analytics Securities LLC, Fusion Analytics Investment Partners LLC
Respondent Lawyers(s): John Stewart
Arbitrator(s): Robert J. Scafuri, Peter Glasser, Michael S. Berman
Hearing Site: Pittsburgh, PA
| | $100,000 |
| 17-01621 | 01/16/2018 | Claimant(s): Joy Rosen, Joy Rosen IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff Esq.
Arbitrator(s): Barry A. Fisher
Hearing Site: Las Vegas, NV
| | $70,600 |
| 17-01878 | 01/12/2018 | Claimant(s): New Brunswick Theological Seminary
Claimant Lawyers(s): Richard S. Mills
Respondent(s): Victoria Vandyke
Respondent Lawyers(s): Victoria Anne Vandyke
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
| | $3,229,100 |
| 16-03180 | 01/12/2018 | Claimant(s): Diane Helbling, Heather Abdullah-Robinson
Claimant Lawyers(s): Diane Helbling
Respondent(s): Brian Hentz, Dennis Kinzer, Morgan Stanley, Jeffrey Graunke, Pershing LLC, National Planning Corporation
Respondent Lawyers(s): Benjamin J. Biard, Christopher M. Sacco, Jane L. Myers
Arbitrator(s): Ronald P. Wertheim, Patrick R. Westerkamp, Leo J. Karwejna
Hearing Site: Philadelphia, PA
| | $0 |
| 16-02621 | 01/11/2018 | Claimant(s): John Wright
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Ryan Bowers, Enviso Capital
Respondent Lawyers(s): Vincent Slavens
Arbitrator(s): Mark R. Lee, Mary Elizabeth Geerdes, John Scott Carter
Hearing Site: San Diego, CA
| | $0 |
| 17-00488 | 01/10/2018 | Claimant(s): Judith Kawtoski
Claimant Lawyers(s): Nicholas J. Taldone
Respondent(s): Pacific Select Distributors
Respondent Lawyers(s): Todd M. Fuller
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
| | $0 |
| 16-03729 | 01/09/2018 | Claimant(s): John Wartman, John M. Wartman Roth IRA
Claimant Lawyers(s): John M. Wartman
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
| | $0 |
