| 16-03580 | 01/08/2018 | Claimant(s): William Jones
Claimant Lawyers(s): Edwin Glenn Waldrop
Respondent(s): David Searcy, Morgan Stanley
Respondent Lawyers(s): Peter S. Fruin, Todd H. Cox
Arbitrator(s): Lawrence R. Maxwell, Matthew Reid Krell, Cynthianther May
Hearing Site: Birmingham, AL
|  | $79,370 |
| 17-00229 | 01/08/2018 | Claimant(s): Philippe Damiba
Claimant Lawyers(s): Philippe Damiba
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Susan E. Harkins, Sam Antar, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $0 |
| 16-03238 | 01/06/2018 | Claimant(s): Est. of Franklin Douglas by its P.R.
Claimant Lawyers(s): David L. Jones
Respondent(s): Fifth Third Securities., Jeremy Schipp
Respondent Lawyers(s): D. Justin Gingerich
Arbitrator(s): Larry Evert Carlson, Paul Lansing, Raymond P. Buschmann
Hearing Site: Indianapolis, IN
| | $0 |
| 16-01450 | 01/05/2018 | Claimant(s): Donna Gambee
Claimant Lawyers(s): Charles H. Field
Respondent(s): David Barber, Madison Avenue Securities, Llc
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Deanna J. Johnson, Janice L. Sperow, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | $1,945,400 |
| 17-01928 | 01/04/2018 | Claimant(s): Brent Hoffman
Claimant Lawyers(s): William T. McCartan
Respondent(s): Ernest Fugate, Mary Fugate
Respondent Lawyers(s): Bruce Oakes
Arbitrator(s):
Hearing Site: Kansas City, MO
| | Expungement |
| 17-01522 | 01/04/2018 | Claimant(s): Xiang Zhang
Claimant Lawyers(s): Xiang Zhang
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): T.R, Bynum
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | $38 |
| 17-01272 | 01/03/2018 | Claimant(s): David Appel, Gimme Shelter
Claimant Lawyers(s): David W. Appel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): David S. Billet, Timothy A Meigher, Martin A. Edelstein
Hearing Site: Albany, NY
| | Dismissed by Rule 12206 |
| 16-02678 | 01/03/2018 | Claimant(s): Richard Long
Claimant Lawyers(s): I. Donald Weissman
Respondent(s): J.P. Morgan Securities, Ruben Cavada
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott David Finkel, Michael John Florio, John R Sustersic
Hearing Site: Los Angeles, CA
| | $0 |
| 16-03487 | 01/03/2018 | Claimant(s): Cyrus Tabaz
Claimant Lawyers(s): Geoffrey G. Melkonian
Respondent(s): David Park, Unionbanc Investment Services
Respondent Lawyers(s): Bryce M. Cullinane
Arbitrator(s): George L. Tindall, W. Scott Bowersock, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01562 | 01/02/2018 | Claimant(s): Thomas Kokjohn
Claimant Lawyers(s): Michael T. West
Respondent(s): Frances Brody Trust dated Feb. 28, 1979, Jake J Farber & Janet Farber Revocable T, Nancy Alpert Trust dated January 17,1997, Raymond & Barbara Alpert Trust Oct6,1987
Respondent Lawyers(s): Jake Farber, Nancy Alpert, Raymond Alpert
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Expungement |
