| 16-02242 | 08/02/2017 | Claimant(s): Ronald Emanuel
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Peter A. Portley
Hearing Site: Boca Raton, FL
|  | Expungement |
| 16-00783 | 07/31/2017 | Claimant(s): Joseph Devaney, Mary Devaney
Claimant Lawyers(s): Adrian Mendoza
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | Expungement |
| 16-02112 | 07/28/2017 | Claimant(s): Carl Bergstrom
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Christopher Calandrino
Respondent Lawyers(s): Christopher John Calandrino
Arbitrator(s): Terry F. Peppard
Hearing Site: Des Moines, IA
| | $14,000 |
| 16-02368 | 07/28/2017 | Claimant(s): Janet Russ, Janet E. Russ Trust
Claimant Lawyers(s): Bruce R Heurlin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Expungement |
| 12-02759 | 07/28/2017 | Claimant(s): Peter Deutsch, William Deutsch
Claimant Lawyers(s): Howard Graff, Rachael Kierych
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Fred Shinagel, Paul S. Biederman, Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
| 15-02841 | 07/28/2017 | Claimant(s): Board of County Commissioners of the Cou
Claimant Lawyers(s): Clinton W Marrs
Respondent(s): Thomas Hayes, Bosc.
Respondent Lawyers(s): Paul DeMuro
Arbitrator(s): Barry H. Barnett, Patricia G. Parthe, Harvey W Gordon
Hearing Site: Albuquerque, NM
| | $0 |
| 15-01410 | 07/25/2017 | Claimant(s): Russell Wilson
Claimant Lawyers(s): Russell Wilson
Respondent(s): Qi Huang, Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma, Qi Huang, Stephen Grivas
Arbitrator(s): William L. Merkin, Michael D. Briggs, Randall Brian Christison
Hearing Site: San Diego, CA
| | $157,300 |
| 14-02711 | 07/25/2017 | Claimant(s): ABS Manager
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott Zachary Seff, Karen A. Lockwood, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
| | $0 |
| 17-00506 | 07/25/2017 | Claimant(s): Larisa Gromyko
Claimant Lawyers(s): Larisa Gromyko
Respondent(s): Jason Boothroyd, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Lauren A. Stagnone
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $21,775 |
| 16-00512 | 07/24/2017 | Claimant(s): John Keck, Kathleen Keck
Claimant Lawyers(s): Patrick J. Crank
Respondent(s): Bryan Pedersen, Jacqueline Georgio Westover, Paul Howard, RBC Capital Markets LLC
Respondent Lawyers(s): Adrian P. Castro, John S. Lutz
Arbitrator(s): Larry D. Hayden, Richard Djokic, Thomas R. Bromberg
Hearing Site: Cheyenne, WY
| | $559,612 |
