| 16-01883 | 09/08/2017 | Claimant(s): Ken Ridenour
Claimant Lawyers(s): Robert Nass-Worthington
Respondent(s): Dean Kennedy, William Stapleton, Texakoma Financial.
Respondent Lawyers(s): Barry F. Cannaday, Frank L. Broyles
Arbitrator(s): R. Lee Britton Jr., Mark C. Watler, Charles W. Adams
Hearing Site: Dallas, TX
|  | Expungement |
| 17-00704 | 09/08/2017 | Claimant(s): Peter R. Caccippio Revocable Living Tr
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Wallace Anthony Showman
Hearing Site: New York, NY
| | $50,600 |
| 16-01489 | 09/07/2017 | Claimant(s): Larry and Susan Zilverberg
Claimant Lawyers(s): Scott R. Carlson
Respondent(s): Northland Securities.
Respondent Lawyers(s): Joseph M. Windler
Arbitrator(s): Peter N. Thompson, Joseph Darwin Kenyon, Julie Fleming-Wolfe
Hearing Site: Minneapolis, MN
| | Expungement |
| 16-01908 | 09/06/2017 | Claimant(s): Helene Brandon, Helene Brandon Rev Trust U/A DTD 8-6-03
Claimant Lawyers(s): Jerard C. Heller
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): T.R. Bynum III
Arbitrator(s): Marc T. Danon, Alfred L. Simon, Stacey Rosenthal
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-03018 | 09/06/2017 | Claimant(s): Bernard Chang, Erich Groos, Ira Shivitz, Jane Groos, Kelly Harwood, Melissa Goodman-Chang, Cornea Consultants of Nashville, PLLC Ca, PLLC Pr, Kelly Harwood Irrevocable Trust
Claimant Lawyers(s): Thomas E. Chase
Respondent(s): LPL Financial LLC, Kenneth Ford, Private Advisory Group.
Respondent Lawyers(s): Amy Worrell Sterling, Michael A Brady
Arbitrator(s): John G. Manley, Richard K. Smith, Robert Lane Arrington
Hearing Site: Nashville, TN
| | $600 |
| 17-00854 | 09/06/2017 | Claimant(s): Ana Blatman
Claimant Lawyers(s): Ana Blatman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Monroe Mitchel
Hearing Site: Boca Raton, FL
| | $213 |
| 16-01370 | 09/05/2017 | Claimant(s): France Pollack, France Pollack Rollover IRA, The F/T Barry Pollack Trust Profit Shari
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Richard J. Stall, Susan B. Gans-Smith, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $0 |
| 14-00730 | 09/01/2017 | Claimant(s): Enrique Freiria
Claimant Lawyers(s): Normarie Rodriguez Perez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Robert J. Buchner, Susan G. Pinkston, Joseph Michael Librie
Hearing Site: San Juan, PR
| | Expungement |
| 16-00301 | 09/01/2017 | Claimant(s): Kathryn Thatcher
Claimant Lawyers(s): Timothy J. Perry
Respondent(s): Charles Marvin, Morgan Stanley, Richard Hartnett
Respondent Lawyers(s): Lisa B. Dodge, Neil S. Baritz
Arbitrator(s): John Joseph Cotter, Joseph Charles Kennedy, Thomas Matthew Madden
Hearing Site: Boston, MA
| | Expungement |
| 16-03145 | 09/01/2017 | Claimant(s): Jamar Evans
Claimant Lawyers(s): Jamar J Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Paul Lansing, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $3,100 |
