| 15-02953 | 10/25/2017 | Claimant(s): Arthur Goolsby, Benjamin Dumas, Christine Daniels, Ernestine Fulford, Glenda Bozeman, James Bozeman, Joseph Dumas, Joyce Grogan, Shirley Fulford, Summer Bozeman, Susan Dumas, Terry Fulford
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Jason Parker
Respondent Lawyers(s): Jason Charles Parker
Arbitrator(s): Brock B. Gordon
Hearing Site: Atlanta, GA
|  | $5,143,840 |
| 16-02213 | 10/25/2017 | Claimant(s): Cecil & Mary Ross Revocable Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Ceros Financial Services.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s):
Hearing Site: Des Moines, IA
| | $0 |
| 16-02693 | 10/25/2017 | Claimant(s): Raymond Seibert
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Sherry Brooker, Cetera Financial Specialists LLC
Respondent Lawyers(s): Andrew Dorman
Arbitrator(s): Leon Fox, Michael Nathanson, Patrick Moran
Hearing Site: Chicago, IL
| | $0 |
| 17-01381 | 10/25/2017 | Claimant(s): Sujata Vyas
Claimant Lawyers(s): Marie Mirch
Respondent(s): Bhaskar Vyas, First Affiliated Securities
Respondent Lawyers(s): Bhaskar Chandrakant Vyas, Donna Bartlett
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | $107,865 |
| 14-02780 | 10/24/2017 | Claimant(s): Kwok Cheung
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., Roger Lam
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Will Murphy, Carolyn E. Moore, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-01338 | 10/24/2017 | Claimant(s): John Hazlip
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Lynn Hirschfeld Brahin, Karen Yvonne Preston, Belinda M. Ohlinger
Hearing Site: Columbus, OH
| | Expungement |
| 17-00071 | 10/24/2017 | Claimant(s): Carlos Nieves
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
| | $22,103 |
| 16-01140 | 10/24/2017 | Claimant(s): Leticia Castro, GrupoMex Holdings
Claimant Lawyers(s): Chaz R. Brown, John Rogers
Respondent(s): James Fellus, Pershing LLC, John Burke, Lawrence Sanicola, Braver Stern Securities LLC
Respondent Lawyers(s): Andrew R. Harvin, James Benjamin Fellus, Lawrence Sanicola, Thomas G. Amon
Arbitrator(s): Michael Dean, Kendall C. Reed, Michael John Florio
Hearing Site: Las Vegas, NV
| | $0 |
| 16-01467 | 10/24/2017 | Claimant(s): Sandy Hirsch
Claimant Lawyers(s): Adam Green
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $63,349 |
| 17-01459 | 10/24/2017 | Claimant(s): Alan DeFlorio
Claimant Lawyers(s): Alan A. DeFlorio
Respondent(s): James Flynn
Respondent Lawyers(s): James Travis Flynn
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $0 |
