| 16-01180 | 01/02/2018 | Claimant(s): Stephen Western
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Donald Beary, Jon Stanfield, Susan Vargason
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): David D. McNally, Eric R. Benton, Francis Joseph Bourgeois
Hearing Site: Houston, TX
|  | Dismissed by Rule 12206 |
| 16-01183 | 01/02/2018 | Claimant(s): Nigel Timms
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): William Ziering, Herbert Liberman, Terry M Lloyd
Hearing Site: Honolulu, HI
| | Expungement |
| 16-02099 | 12/31/2017 | Claimant(s): Alfred Hammer, Anthony Longano, Barbara Pasalis, Donald Satava, Francesco Melfi, James Satava, Joan Satava, John DeMichele, Karen Hammer, Karen Harnar, Karen Marano, Lauren Longano, Lea Russell for Julie Russell, Lori Prebul, Mildred Marano, Stephen Satava
Claimant Lawyers(s): David P. Meyer
Respondent(s): Christopher Barone, Richard Barone, America Northcoast Securities.
Respondent Lawyers(s): Michael Davis Hoenig
Arbitrator(s): Michael J. Meeusen, Carol Jean Bader, Kevin Brodar
Hearing Site: Cleveland, OH
| | Expungement |
| 17-00513 | 12/29/2017 | Claimant(s): David Petersen
Claimant Lawyers(s): Lars Kristian Soreide
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 17-02057 | 12/29/2017 | Claimant(s): Lee Abrahamsen, Robert Abrahamsen
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Brent Porges
Respondent Lawyers(s): Brent Morgan Porges
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Augusta, ME
| | $131,347 |
| 16-01877 | 12/29/2017 | Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
| | $0 |
| 17-01570 | 12/29/2017 | Claimant(s): Lina R. Williams, Peter G. Williams
Claimant Lawyers(s): Howard Meyers
Respondent(s): Thomas Sullivan, Lampert Capital Markets Inc.
Respondent Lawyers(s): James P. Donohue
Arbitrator(s): Ira S. Cure
Hearing Site: New York, NY
| | $0 |
| 16-00002 | 12/28/2017 | Claimant(s): Pieter Van Wijk
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Carl Smith, Joseph Baldassarra, Steven Baldassarra, CJS Financial Corp.
Respondent Lawyers(s): David Feingold
Arbitrator(s): Theodor Brown, Cynthia A. DiMarco, Edmund Siejka
Hearing Site: New York, NY
| | $0 |
| 16-01151 | 12/27/2017 | Claimant(s): Paul Sussman
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-02183 | 12/27/2017 | Claimant(s): Linda Trautman
Claimant Lawyers(s): Kenneth R. Behrend
Respondent(s): Richard Staszak, Cetera Advisor Networks LLC
Respondent Lawyers(s): James W. Kraus
Arbitrator(s): Carl Hohnbaum, Michael J. Meeusen, Stuart C. Gaul
Hearing Site: Pittsburgh, PA
| | Expungement |
