| 16-03619 | 09/29/2017 | Claimant(s): Tamra Amakwe (Dicus)
Claimant Lawyers(s): Tamra L. Amakwe (Dicus)
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
|  | $0 |
| 16-03582 | 09/28/2017 | Claimant(s): Mark Heymans, Estate of Donn Burleigh, Estate of Olivia Schulz
Claimant Lawyers(s): Stacy P. Slaughter
Respondent(s): Mark Holt
Respondent Lawyers(s): Mark David Holt - Register No. 17865-041
Arbitrator(s): Lawrence J. Welte, Steven M. Bialick, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $0 |
| 17-00449 | 09/27/2017 | Claimant(s): Adolfo Cordero
Claimant Lawyers(s): Luis F. Biason
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Simon Kopel
Respondent Lawyers(s): Tanya S. Lambrechts
Arbitrator(s): Richard Carl Smukler
Hearing Site: Miami, FL
| | Dismissed by Rule 12206 |
| 15-03232 | 09/26/2017 | Claimant(s): Anthony Listro, Gloria Listro
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors, Richard Galgano
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
| 16-02160 | 09/26/2017 | Claimant(s): Linda Kaplan
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Brooks White, Patricia Kathleen Costello, Elliot Schnapp
Hearing Site: New York, NY
| | Expungement |
| 16-01999 | 09/26/2017 | Claimant(s): James Stofer
Claimant Lawyers(s): David Neuman
Respondent(s): Kevin Tolsma
Respondent Lawyers(s): John R. Bamford
Arbitrator(s): Thomas R. Dreiling, Ian Stephen Birk, Chris Robert Youtz
Hearing Site: Seattle, WA
| | $0 |
| 17-00905 | 09/26/2017 | Claimant(s): John Serwatka
Claimant Lawyers(s): John A. Serwatka
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Michael James Malone
Hearing Site: Cleveland, OH
| | $368 |
| 16-00972 | 09/25/2017 | Claimant(s): John Patterson, Stella Patterson, John Patterson and Stella Patterson
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Gordon M. Wase, Kathleen K. Murphy, John James McGovern
Hearing Site: Philadelphia, PA
| | $358,200 |
| 16-02899 | 09/25/2017 | Claimant(s): David Gottschall, Karen Gottschall
Claimant Lawyers(s): Sheila A. Woolson
Respondent(s): Christopher Tolmacs
Respondent Lawyers(s): Christopher Thomas Tolmacs
Arbitrator(s): Mitchell M. Willoughby, Avery B. Goodman, Walter J. Wylie
Hearing Site: Columbia, SC
| | $1,500,380 |
| 17-01225 | 09/25/2017 | Claimant(s): Dana Smith
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Lawrence Alfano, Itradedirect.Com Corp
Respondent Lawyers(s): Eric Arlt, Lawrence Joseph Alfano
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $111,505 |
