| 16-02408 | 07/07/2017 | Claimant(s): Randall Moses
Claimant Lawyers(s): Randall H. Moses
Respondent(s): Dawn Winship
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
|  | Expungement |
| 13-03605 | 07/07/2017 | Claimant(s): Gregory Cohen
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Baris Dincer, Daniel Mendoza, Francine Lanaia, Joseph Amato, RBC Capital Markets LLC, Alexander Capital, L.P.
Respondent Lawyers(s): Baris Dincer, Daniel Manuel Mendoza, Francine Ann Lanaia, Frank J. Cuccio, Scott Holcomb
Arbitrator(s): William E. Nuckel, Christine Moore, Mary Julia O'Connell
Hearing Site: New York, NY
| | $0 |
| 15-02108 | 07/05/2017 | Claimant(s): Michael Gallion, The Estate of Nancy Gallion
Claimant Lawyers(s): John D. Singer
Respondent(s): Calvin Zara, Pruco Securities.
Respondent Lawyers(s): Courtney Stieber, David H. Jarvis
Arbitrator(s): Kenneth E. Owen, Joseph Winter, Daniel Lawrence Pearlman
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00035 | 07/03/2017 | Claimant(s): David Kalin, The David P. Kalin Roth IRA
Claimant Lawyers(s): David Neuman
Respondent(s): Michael Clements, Avenir Financial Group
Respondent Lawyers(s): Michael Todd Clements, Michael Clements
Arbitrator(s): Richard R. Logsdon
Hearing Site: Tampa, FL
| | Expungement |
| 15-01579 | 06/30/2017 | Claimant(s): Antoinette Hawkins, Jack Hawkins
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Nancy Biddle, National Planning Corporation
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Roger W. Van Deusen, Ian S. Greig, John T. Luce
Hearing Site: Tampa, FL
| | Expungement |
| 15-03209 | 06/30/2017 | Claimant(s): Vinu Patel
Claimant Lawyers(s): Philip D. Sever
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ed Walton
Arbitrator(s):
Hearing Site: Cincinnati, OH
| | Expungement |
| 17-00197 | 06/30/2017 | Claimant(s): David Kaplan, Nedra Kaplan
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Aaron Hattem, Stifel, Nicolaus & Co.., Neil Hattem
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | $300 |
| 16-01558 | 06/29/2017 | Claimant(s): Richard Congel
Claimant Lawyers(s): Richard C. Engel
Respondent(s): Wells Fargo Advisors, Paul Kordziel
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stuart M. Schwartz, Michael J. McNeil, David R. Foley
Hearing Site: Syracuse, NY
| | Expungement |
| 16-02520 | 06/29/2017 | Claimant(s): Joan Haevernick
Claimant Lawyers(s): Linda Tran
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Quinly
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
| | $0 |
| 17-00196 | 06/29/2017 | Claimant(s): Brian Burke, Sandra Burke
Claimant Lawyers(s): Horace M. Baker
Respondent(s): John Thomas
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Robert G. Bannon
Hearing Site: Raleigh, NC
| | $0 |
