| 16-02231 | 12/21/2017 | Claimant(s): Shawn Scheuer
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Morgan Stanley, Steven Anderson
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Dennis Markham Smith
Hearing Site: Reno, NV
|  | $663,898 |
| 14-01299 | 12/20/2017 | Claimant(s): Marilyn Booker
Claimant Lawyers(s): Marilyn F. Booker
Respondent(s): Harpreet Mangat, Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Louis H. Miron, Linda J. Baer, Robert Miles Saunders
Hearing Site: Newark, NJ
| | $200,000 |
| 15-02117 | 12/19/2017 | Claimant(s): Cust IRA FBO Julia Dobbins Joyce, Cust IRA FBO Kaye C. Idol, Cust IRA FBO Steven Michael Joyce, Cust IRA FBO Walter Lane Idol Jr., Cust Rollover IRA FBO Paschal Dobbins, Steven Joyce and Julia Joyce JTTEN, Walter Idol Jr & Kaye Idol JTTEN
Claimant Lawyers(s): David Gaba, Patricia L. Vannoy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Michael E. Weddington, Thomas Joseph Atkinson, Danny Lynn Ingram
Hearing Site: Raleigh, NC
| | $462,080 |
| 15-02282 | 12/19/2017 | Claimant(s): Olga Garcia Vincenty
Claimant Lawyers(s): Luis J. Acevedo-Bengoechea
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): David J. Butler, Salvador J. Antonetti-Stutts
Arbitrator(s): Paul Weinberg, Robert G. Falbisaner, Debra Black Leo
Hearing Site: San Juan, PR
| | Expungement |
| 16-02844 | 12/19/2017 | Claimant(s): Gary Stoll, Jimmie Stoll
Claimant Lawyers(s): Christopher L. Lufrano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sarah Schiferl
Arbitrator(s): Joseph C. Roberts
Hearing Site: Boise, ID
| | Expungement |
| 16-03617 | 12/19/2017 | Claimant(s): John Hollenbeck, Lucille Hollenbeck
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): RBC Capital Markets LLC, Martin Olson
Respondent Lawyers(s): Eric D. Brandonbrener
Arbitrator(s): Stephen D Kursman, Jonathan Edward Maire, Arthur James Rubiner
Hearing Site: Detroit, MI
| | $250,000 |
| 17-00135 | 12/19/2017 | Claimant(s): Dwight Hansen, Julie Hansen, Hansen's Grain Inc., Dwight Jay Hansen IRA
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Brandon Stimpson, Heath Bowen, Allegis Investment Services
Respondent Lawyers(s): Tamara A. Seelman
Arbitrator(s): Larry T. Coady, G. E. Craig Doupe, Michael D. Briggs
Hearing Site: Boise, ID
| | Dismissed by Rule (12200/12201) |
| 16-00013 | 12/19/2017 | Claimant(s): H. Labban, Kevin Labban, Labban Futures LLC, Labban Real Estate LLC, Melton Labban Investments LLC, Jacquelyn McAdams Family Trust, James Melton Grandchildren Trust, James Melton Grantor Trust
Claimant Lawyers(s): Andrew J. Mytelka, Jeannie M. Urbani
Respondent(s): Morgan Stanley, Kim Isaacson
Respondent Lawyers(s): Beth A. Black
Arbitrator(s): Barbara L. Edin, Onnig Hatchig Dombalagian, Stephen Edgar Eisenbraun
Hearing Site: New Orleans, LA
| | $0 |
| 15-02347 | 12/18/2017 | Claimant(s): Jerome Courville, Laurence Courville, Raoul Courville, Courville and Company
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services., ING Financial Partners.
Respondent Lawyers(s): Benjamin Biard, Howard M. Klausmeier
Arbitrator(s): James W. Geiger, Kenneth H. Koch, Gabriel Xavier Martinez
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-00870 | 12/18/2017 | Claimant(s): Sabine Parker
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Craig Sutherland, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Michael L. Fortney, Robert M Lustig, Karl Strohbehn
Hearing Site: Cleveland, OH
| | Expungement |
