| 16-03631 | 11/01/2017 | Claimant(s): Estate of Frances C. Jordan
Claimant Lawyers(s): James G. Harralson
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine Schuerman
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
|  | $300 |
| 15-01304 | 10/31/2017 | Claimant(s): Richard Kosinski
Claimant Lawyers(s): Stephen J. Rodman
Respondent(s): Deutsche Bank Securities., Daniel Ryan, Eric Philippi
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Ericka B. Gray, James R. Collins, Merriann Panarella
Hearing Site: Boston, MA
| | $0 |
| 16-02514 | 10/30/2017 | Claimant(s): Judith Spiniello
Claimant Lawyers(s): Ronald A. Berutti
Respondent(s): Morgan Stanley, Robert Cerasia
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Patrick J. Howley, Joseph H. Cerame, Richard C. Antonelli
Hearing Site: Newark, NJ
| | $20,000 |
| 17-01083 | 10/30/2017 | Claimant(s): Iris Tatro
Claimant Lawyers(s): Iris Tatro
Respondent(s): Michael Shea, Vision
Respondent Lawyers(s): David E. Achzet, Michael Daniel Shea
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | $14,754 |
| 17-00969 | 10/27/2017 | Claimant(s): StartEngine Capital LLC
Claimant Lawyers(s): Mary F. Knight
Respondent(s): Abbey Konowitch
Respondent Lawyers(s): Abbey Konowitch
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00751 | 10/27/2017 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Marc Kalter, Woodstock Financial Group.
Respondent Lawyers(s): Heidi E. VonderHeide, Yelena Rapoport
Arbitrator(s): Mark L Miller, Gerald J. Egermier, Troy J. Bird
Hearing Site: Omaha, NE
| | Settlement |
| 17-00529 | 10/27/2017 | Claimant(s): Julia Smith, Julia R. Smith IRA, Julia R. Smith, Julian R. Smith Trust
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Wells Fargo Clearing Services, David Bry
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
| | Expungement |
| 16-02827 | 10/27/2017 | Claimant(s): Paul Gabriel
Claimant Lawyers(s): Paul Thomas Gabriel
Respondent(s): Royal Securities Company
Respondent Lawyers(s): Brian J. Masternak
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | $0 |
| 17-00305 | 10/27/2017 | Claimant(s): Virginia Nourie, Shane Nourie Custodial Account
Claimant Lawyers(s): Guy M. Burns
Respondent(s): Bruce Cameron, RBC Capital Markets LLC
Respondent Lawyers(s): Tanya S. Lambrechts
Arbitrator(s): Donald Glen Russell, John G. Sciandra, Marilyn K. Dirks
Hearing Site: Tampa, FL
| | $723,355 |
| 15-03299 | 10/26/2017 | Claimant(s): Estate of Jack R. Willett
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Richard A. Mosman, Terry F. Peppard, Donald N. Tolin
Hearing Site: Des Moines, IA
| | Expungement |
