| 16-01522 | 07/24/2017 | Claimant(s): Steve Boehm IRA
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): K.C. Ward Financial
Respondent Lawyers(s): Louis Ward
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
|  | $11,610 |
| 15-02046 | 07/21/2017 | Claimant(s): Harold Garner, Shirley Garner
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Ameriprise Financial Services., Michael Sommerfield
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Douglas Earl McLaren, Christopher M. McMurray, Eric Erdheim
Hearing Site: Baltimore, MD
| | Expungement |
| 13-01699 | 07/21/2017 | Claimant(s): Gayle Aschenbrenner, Patricia Zvonik
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Chandra Cardinale, Reuven Enterprises Securities Division
Respondent Lawyers(s): Chandra Ann Cardinale, Pat Hassel
Arbitrator(s): David I. Goldblatt, Adelfa Ann Lugo, John Nino Brenkovich
Hearing Site: New York, NY
| | $1,581,530 |
| 15-03410 | 07/20/2017 | Claimant(s): Elliot Wender, Penina Wender, Elliot and Penina Wender Revocable Trust
Claimant Lawyers(s): Ross E. Webster, Saul Belz
Respondent(s): Justin Berman, Berman Capital Advisors, Massey, Quick & Co.
Respondent Lawyers(s): John M. Gross, Ramsey A. Knowles
Arbitrator(s): Gregory D. Hoffmann, Robert W. Kneeland, Avery B. Goodman
Hearing Site: Memphis, TN
| | $50,000 |
| 16-02311 | 07/20/2017 | Claimant(s): Jason Hallmark
Claimant Lawyers(s): Jason Hallmark
Respondent(s): John Rukenbrod
Respondent Lawyers(s): Gregory D. Seeley
Arbitrator(s): Cathleen M. Cobb, Robert Rosen, Marie Ann Stein
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-03169 | 07/20/2017 | Claimant(s): Mary Jean Negri
Claimant Lawyers(s): John M. Breslin
Respondent(s): Alan Palazzo
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Fred S. Pieroni, Robert E. Anderson, Stephen M. Plotnick
Hearing Site: Newark, NJ
| | $0 |
| 16-00913 | 07/19/2017 | Claimant(s): Daniel Riosa, Maria Riosa
Claimant Lawyers(s): Maria Riosa
Respondent(s): Mary Wise
Respondent Lawyers(s): M. David Sayid
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | $0 |
| 16-01234 | 07/17/2017 | Claimant(s): Alan Rosenthal Family Trust
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Wells Fargo Advisors, Russell Blum
Respondent Lawyers(s): Deirdre C. Wolff, Russell Scott Blum
Arbitrator(s): Edward W. Morris
Hearing Site: Hartford, CT
| | Expungement |
| 16-01492 | 07/14/2017 | Claimant(s): Barbara Blethen, Christopher Wallace, Gerard Gawel, Marie Wallace
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Philip Fatta, Blackbook Capital, Legend Securities.
Respondent Lawyers(s): Franklin Ogele, Philip Orezio Fatta, Salvatore Caruso
Arbitrator(s): Daniel Robbins, Dolores D. Balsamo, Harrison Johnson
Hearing Site: New York, NY
| | $584,796 |
| 16-00847 | 07/13/2017 | Claimant(s): Agatha Dancy, John Dancy
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Wedbush Securities Inc., Mark Augusta
Respondent Lawyers(s): Charles LaChaussee, David S. Harrison
Arbitrator(s): A. Joel Klein, Owen J. Thomsen, Carolyn Renee Payne
Hearing Site: Los Angeles, CA
| | $1,519,360 |
