| 15-01312 | 10/23/2017 | Claimant(s): Navin Barot
Claimant Lawyers(s): Cory Ferraez
Respondent(s): R.F. Lafferty & Co.., Todd Sherman
Respondent Lawyers(s): Richard L. Herzfeld
Arbitrator(s): Gary S. Jefferson, Robert H. Putnam, Eric Spencer Buchanan
Hearing Site: Jackson, MS
|  | Expungement |
| 16-02475 | 10/23/2017 | Claimant(s): Bonita Michalec, Daniel Michalec
Claimant Lawyers(s): Phil Michalec
Respondent(s): David Wozniak, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Ronald Kane
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 16-03301 | 10/20/2017 | Claimant(s): Charles Koontz
Claimant Lawyers(s): Clinton Barkdoll
Respondent(s): Bernice Schick, David Holman, Don Coldsmith, Nelson Hoachlander, Edward Jones, Randall Koontz
Respondent Lawyers(s): Alexandra M. Sipe, Bernice Schick, Daniel J. Donovan, Nelson L. Hoachlander
Arbitrator(s): John H Adair, Laura A. Kaster, Thomas James Hirsch
Hearing Site: Baltimore, MD
| | $34,011 |
| 17-00321 | 10/20/2017 | Claimant(s): Melissa Dano
Claimant Lawyers(s): Melissa Dano
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Josef Y. Rosen
Arbitrator(s): James P. Kinkade, James C. Hoover, John F. Allgood
Hearing Site: Atlanta, GA
| | $0 |
| 17-01696 | 10/20/2017 | Claimant(s): Charlene K. Bylsma
Claimant Lawyers(s): Bill Bylsma
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney Crowder
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | $38 |
| 17-00930 | 10/19/2017 | Claimant(s): Ginji Wang
Claimant Lawyers(s): Grant M. Lally
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Francis Carling
Hearing Site: New York, NY
| | $0 |
| 16-03009 | 10/18/2017 | Claimant(s): Elizabeth Gallucci
Claimant Lawyers(s): Dennis Boyle
Respondent(s): Frank Kelly, HD Vest Investment Services
Respondent Lawyers(s): Rob Moses
Arbitrator(s): Gordon M. Wase
Hearing Site: Baltimore, MD
| | $0 |
| 16-03314 | 10/16/2017 | Claimant(s): Jacqueline Harrigan, Jacqueline Bose Harrigan Trust
Claimant Lawyers(s): Jacqueline Bose Harrigan
Respondent(s): Ricardo Cabrera, G.F. Investment Services
Respondent Lawyers(s): Alan L. Sachs, Geoffrey A. Frazier
Arbitrator(s): A. Joel Klein, Royetta M. Jones, Augusta Massey
Hearing Site: Las Vegas, NV
| | Expungement |
| 16-02235 | 10/16/2017 | Claimant(s): Helen Luca, Robert McCluskey
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Christine Mallul, David A. Noyes & Company
Respondent Lawyers(s): Christine Catherine Mallul, Robert L. Cram
Arbitrator(s): Michael S. Matek, Leonard Arthur Nelson, Bradley Howard Wulfsohn
Hearing Site: Chicago, IL
| | $0 |
| 16-03586 | 10/16/2017 | Claimant(s): Samuel Brezel, IRA
Claimant Lawyers(s): Samuel Brezel
Respondent(s): Morgan Stanley, Kenneth Olsen
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Leah R. Marks
Hearing Site: New York, NY
| | $0 |
