| 15-02886 | 09/12/2017 | Claimant(s): Sujata Vyas
Claimant Lawyers(s): Marie Mirch
Respondent(s): Interfirst Capital Corporation
Respondent Lawyers(s): Dennis M. Holmgren
Arbitrator(s): Mark R. Lee, Alan Joseph Goldstein, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
|  | Dismissed by Rule 12206 |
| 16-00100 | 09/12/2017 | Claimant(s): E. Clark
Claimant Lawyers(s): Thomas Clark
Respondent(s): John Francis, Maureen Bryan-Furgurson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Howard R. Melamed, Tara A. LaClair, Thomas B. Snyder
Arbitrator(s): Peter H. Daly, Dean J. Dietrich, Marvin L. Watkins
Hearing Site: San Francisco, CA
| | Settlement |
| 16-00906 | 09/12/2017 | Claimant(s): Overview Productions.
Claimant Lawyers(s): Amanda L. Voivedich
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert D. Sussin, Jasmina T. Boulanger, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | $135,100 |
| 16-01995 | 09/12/2017 | Claimant(s): Francois Perron
Claimant Lawyers(s): Francois Perron
Respondent(s): William Nelson
Respondent Lawyers(s): William David Nelson
Arbitrator(s): Steven A. Infante, William A. Rome, Mary P. Bass
Hearing Site: New York, NY
| | $5,000 |
| 17-00678 | 09/12/2017 | Claimant(s): Merrill Knopf IRA
Claimant Lawyers(s): Merrill Knopf
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Ronald L. Cameron
Hearing Site: Los Angeles, CA
| | $1,600 |
| 17-00015 | 09/11/2017 | Claimant(s): Don Monteath
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Dismissed by Rule 12206 |
| 17-00104 | 09/11/2017 | Claimant(s): Robert Sells
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Dean Kajouras, John Lowry, Yvonne Owens, Spartan Capital Holdings, Spartan Capital Securities
Respondent Lawyers(s): David A. Schrader, John Stenson, Yvonne R. Owens
Arbitrator(s): David J. Hase
Hearing Site: Des Moines, IA
| | $600 |
| 14-02788 | 09/08/2017 | Claimant(s): Liphard D'Souza, Sabrina D'Souza
Claimant Lawyers(s): Chad M. Neuens
Respondent(s): First Independent Financial Services Inc
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Kelley L. Cornelius, Philip I. McConnell, Van R. Oliver
Hearing Site: Oklahoma City, OK
| | $94,852 |
| 15-00680 | 09/08/2017 | Claimant(s): Peter Izmirian, Sandra Ingwaldson
Claimant Lawyers(s): Jonathan M. Harris
Respondent(s): Mark Holt
Respondent Lawyers(s): Mark David Holt
Arbitrator(s): Thomas J. Gmeinder, Kerry C. Koep
Hearing Site: Minneapolis, MN
| | $477,650 |
| 15-01863 | 09/08/2017 | Claimant(s): Hazel Kitzman, Estate of Hazel L. Kitzman, Separate Property Trust dated April 28,
Claimant Lawyers(s): Robert M. Caietti
Respondent(s): John Folsom, RBC Capital Markets LLC, Matthew Sweeney, RBC Wealth Management
Respondent Lawyers(s): H. Mark Mersel, Kamao Shaw, W. Perry Brandt
Arbitrator(s): Deanna J. Johnson, Sally G. Williams, Thomas Mitchell Rhodes
Hearing Site: San Diego, CA
| | $212,000 |
