| 17-00614 | 11/08/2017 | Claimant(s): Laurie Davis
Claimant Lawyers(s): Laurie B. Davis
Respondent(s): Albert Rosebush
Respondent Lawyers(s): Albert Lee Rosebush
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
|  | $0 |
| 16-02217 | 11/07/2017 | Claimant(s): Benjamin Butera
Claimant Lawyers(s): David P. Meyer
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Stuart K. Furman, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | Expungement |
| 17-00068 | 11/07/2017 | Claimant(s): Christopher Haydon, Joan Haydon
Claimant Lawyers(s): David Miller
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Donald K. Eckhardt, Pamela Marcell Carroll, James A. Crouch
Hearing Site: Houston, TX
| | $280,751 |
| 16-00696 | 11/07/2017 | Claimant(s): Helen Robillard, Robert Robillard, Robert E. Robillard CGM Custodian
Claimant Lawyers(s): Charlene E. Philbrook
Respondent(s): Morgan Stanley, James Olson, The Breakwater Group
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): B. John Dill
Hearing Site: Augusta, ME
| | $0 |
| 16-03545 | 11/07/2017 | Claimant(s): Michelle Feins Rev. Trust
Claimant Lawyers(s): Martin Feins
Respondent(s): Goldman, Sachs and Company, Citadel Securities LLC, Cutler Group
Respondent Lawyers(s): Doug Patterson, Evan Stewart, Michael G. Felty
Arbitrator(s): Robert J. Buchner
Hearing Site: Boca Raton, FL
| | $9,400 |
| 16-03461 | 11/06/2017 | Claimant(s): Joyce Jappelle
Claimant Lawyers(s): Phillip S. Wong
Respondent(s): Adina Wiseman
Respondent Lawyers(s): Robert Osdieck
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Denver, CO
| | Expungement |
| 15-01198 | 11/03/2017 | Claimant(s): NSB Advisors LLC
Claimant Lawyers(s): Ramsey Hinkle
Respondent(s): C.L. King & Associates.
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Joseph B. Russell, Carole L. Green
Hearing Site: New York, NY
| | $1,750,000 |
| 15-00585 | 11/02/2017 | Claimant(s): Elizabeth Jachles
Claimant Lawyers(s): Jason J. Kane
Respondent(s): American Portfolios Financial Services
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Thomas E. Webb, Richard D. Rosenbloom, Krista Gottlieb
Hearing Site: Buffalo, NY
| | $461,390 |
| 16-01800 | 11/01/2017 | Claimant(s): Jeffrey Rombs IRA, Kathrine Driscoll IRA, Michael Rombs IRA, Ralph Auguillard IRA, Reginald Bardin IRA, Ronnie Rombs IRA, Stephen Driscoll IRA, Van Russell IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Christopher Gammon, Jackie Wadsworth, Joshua Patterson, Michael Spears, Stacey Rognon, IMS Securities.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Jeffrey R. Jury, Stephen James Cavanaugh, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $2,304,540 |
| 16-02519 | 11/01/2017 | Claimant(s): Jerry and Sandra Staub
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Fredric R. Dichter, Donald Theodore Ryce, Sara Elizabeth Hanley
Hearing Site: Boca Raton, FL
| | $432,823 |
