| 16-01819 | 09/22/2017 | Claimant(s): Elizabeth Benitone, Troy Benitone
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Janet P. Jakubowicz
Arbitrator(s): Janet M. Thompson, David F. Barrett, Kim L. Kirn
Hearing Site: St. Louis, MO
|  | $568,699 |
| 16-02257 | 09/22/2017 | Claimant(s): Karen Fogel, Ronald Fogel
Claimant Lawyers(s): Adam Gana
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Leslie Ruth Nydick
Hearing Site: New York, NY
| | Expungement |
| 16-01891 | 09/22/2017 | Claimant(s): Pollard Family Trust, Sierra Bonita Trust
Claimant Lawyers(s): Michael T. McColloch
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Sally G. Williams, Randall B Christison, William Richard Espino
Hearing Site: San Diego, CA
| | $0 |
| 15-02285 | 09/21/2017 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services., Li-Lin Hsu, American Express Financial Corporation
Respondent Lawyers(s): Chad Weaver, Li-Lin Hsu
Arbitrator(s): Richard M. Norman, Kirtley M. Thiesmeyer, Lorraine Woodwark
Hearing Site: Los Angeles, CA
| | Settlement |
| 16-02924 | 09/20/2017 | Claimant(s): Raymond Gibb, IRA FBO Raymond L Gibb Pershing LLC, Pershing Cust FBO Raymond L Gibb IRA
Claimant Lawyers(s): Patricia L. Vannoy
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Charles G. Michaels, Ken L. Andersen, Ryan Douglas Horner
Hearing Site: Omaha, NE
| | $0 |
| 17-00792 | 09/19/2017 | Claimant(s): Janet Ritz
Claimant Lawyers(s): Michael J Betts
Respondent(s): Charles Correal, Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Stephen D Kursman
Hearing Site: Pittsburgh, PA
| | $7,800 |
| 16-03022 | 09/19/2017 | Claimant(s): Smith Walker
Claimant Lawyers(s): David A. Walton
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith Hoffman, Esq.
Arbitrator(s): G. Maynard Green, Robert J. Gregory, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 17-00296 | 09/19/2017 | Claimant(s): Waddell Jeffries
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Anthony Fusco, Frank Fusco, Salvatore Caruso
Respondent Lawyers(s): Lawrence Gelber
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | $0 |
| 16-02606 | 09/18/2017 | Claimant(s): Mary Jane Rodemeyer, Ronald Rodemeyer, The Rodemeyer Family Trust DTD 09/08/199
Claimant Lawyers(s): D. Daxton White
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Ilene T. Gormly
Hearing Site: Denver, CO
| | Expungement |
| 17-00009 | 09/14/2017 | Claimant(s): Louis Adorian
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Lawrence M. Green, David Rich, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
