| 16-01420 | 12/01/2017 | Claimant(s): Donald DeBock
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Elena G. Rodriguez, Kenneth H. Koch, Mark A Bilawsky
Hearing Site: Boca Raton, FL
|  | Expungement |
| 17-00788 | 12/01/2017 | Claimant(s): Claire Greenberg
Claimant Lawyers(s): Claire Greenberg
Respondent(s): Henry Scheuer
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-02792 | 12/01/2017 | Claimant(s): William Roberts
Claimant Lawyers(s): William J. Roberts
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Peter D. Steinbroner, Paul Isaac Matloff, Rosalind Elaine Stevenson
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01147 | 11/30/2017 | Claimant(s): Kulruedee Wongpakdee, Steven Hoffner
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Jack Seibald, Michael Rosen, Wayne Geffen, Burnham Securities Inc., Cowen Prime Services LLC, Concept Capital Markets LLC
Respondent Lawyers(s): John Burnham, Jordan D. Becker, Mark J. Hyland
Arbitrator(s): Cynthia A. DiMarco, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | Expungement |
| 16-02697 | 11/30/2017 | Claimant(s): Naila Ahmed
Claimant Lawyers(s): John J Muldoon
Respondent(s): Morgan Stanley, Stephen Bowman
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Howard B. Silverman, Marilee Roberg, Gregory G. Gocek
Hearing Site: Chicago, IL
| | $37,170 |
| 16-03332 | 11/29/2017 | Claimant(s): Steven Pritchard
Claimant Lawyers(s): Richard A Lewins
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): William A. Allen, Royal B. Lea, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 17-01795 | 11/29/2017 | Claimant(s): Marguerite Laws
Claimant Lawyers(s): Marguerite R. Laws
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ryan T. Barke
Arbitrator(s): Donna Ross Philip
Hearing Site: Oklahoma City, OK
| | $838 |
| 15-02709 | 11/28/2017 | Claimant(s): Elaine Marshall, Stephen Cook
Claimant Lawyers(s): T. Ray Guy
Respondent(s): Preston Marshall, Frost Bank, Frost Brokerage Services.
Respondent Lawyers(s): Rupert F. Barron, Thomas R. Ajamie
Arbitrator(s): Robert L. Yeager, Edward J. Lynch, Edward S. Koppman
Hearing Site: Dallas, TX
| | $0 |
| 16-00969 | 11/27/2017 | Claimant(s): John Mixon
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Colette Manoil
Hearing Site: Boston, MA
| | Expungement |
| 16-01770 | 11/27/2017 | Claimant(s): Philip Evans
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Barry DekreekL Financial LLC
Respondent Lawyers(s): Mickey Wright, Thomas F. Barnett
Arbitrator(s): James R. McGuone, Ronelle W. Genser, Marcia A. Ogilvie
Hearing Site: Atlanta, GA
| | Expungement |
