| 16-01680 | 11/24/2017 | Claimant(s): April Barnes, James Barnes
Claimant Lawyers(s): Jacob M. Merrill
Respondent(s): Stifel, Nicolaus & Co.., Marc Kozuki
Respondent Lawyers(s): Ben Suter
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Honolulu, HI
|  | $90,225 |
| 15-01027 | 11/22/2017 | Claimant(s): Madeline Garramone
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Glenn King, Royal Alliance Associates.
Respondent Lawyers(s): Glenn R. King, Steven E. Mellen
Arbitrator(s): Robert E. Anderson, Robert T. Costello, Jay Alan Kranis
Hearing Site: Newark, NJ
| | $200,300 |
| 16-00402 | 11/22/2017 | Claimant(s): Tom Flack
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Michael Lavolpe
Respondent Lawyers(s): Michael Scott Lavolpe
Arbitrator(s): Kenneth O. Fossey, Mark A. Frankel, Dennis Dean Davis
Hearing Site: Des Moines, IA
| | $233,703 |
| 16-00502 | 11/22/2017 | Claimant(s): B.R. Russell As Cust. for B.& T. Johnson, B&V Russell Rev Liv Trust DTD 12/2/96
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Lauren S. Puritz, Theodore Haynes, Robert G. Bannon
Hearing Site: Orlando, FL
| | Expungement |
| 16-02314 | 11/22/2017 | Claimant(s): Robert Leech, Robert W. Leech IRA, The Leech Family Trust
Claimant Lawyers(s): Tom Leech
Respondent(s): Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper, Michael Naccarato
Arbitrator(s): John J. Flynn, Kevin C. Coleman, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | Expungement |
| 16-03225 | 11/22/2017 | Claimant(s): Jonathan Friedman
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-01538 | 11/22/2017 | Claimant(s): Martha Simkovitz
Claimant Lawyers(s): Sabato P. Fiano
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Jeffrey Miller, Morgan Stanley & Co..
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Philip S. Walker, Mae A. Brudner, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | $209,775 |
| 14-01998 | 11/20/2017 | Claimant(s): James Farrant
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Candida Bobonis Roig, Dario Ochoa, Franco Fullana, Santander Securities LLC
Respondent Lawyers(s): Matthew E. Wolper, Sara Lydia Velez-Santiago
Arbitrator(s): James W. Geiger, Marc T. Danon, Ronald Charles Waters
Hearing Site: San Juan, PR
| | Expungement |
| 15-02136 | 11/20/2017 | Claimant(s): Trust No. 911 A/KA Banco Invex S.A
Claimant Lawyers(s): Brian Levin
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Mary Ann Tunick, Donald K. Eckhardt, Robert Alan Meyer
Hearing Site: Houston, TX
| | Expungement |
| 16-01635 | 11/20/2017 | Claimant(s): Thomas DeBacco
Claimant Lawyers(s): Charles W. German
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer N. Lamirand
Arbitrator(s): Susan L. Walker, Steven Joseph Streen, Brett Coonrod
Hearing Site: Kansas City, MO
| | $600 |
