16-01790 | 06/28/2017 | Claimant(s): Rosemarie McBride Claimant Lawyers(s): Adam M. Green Respondent(s): Wells Fargo Advisors Financial Network, Janet Horowitz Respondent Lawyers(s): Alan Baskin, Judy Louie Arbitrator(s): Howard R. Gaines, Jan Marie Mackulak, Robert S. Baran Hearing Site: Phoenix, AZ
| | Expungement |
17-00178 | 06/28/2017 | Claimant(s): Robert Crumrine Claimant Lawyers(s): Robert E. Norton Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Julie W. Portera Arbitrator(s): Harvey R. Linder Hearing Site: Atlanta, GA
| | $300 |
17-00212 | 06/28/2017 | Claimant(s): Javed Maniya Claimant Lawyers(s): Javed Maniya Respondent(s): OptionsHouse Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Leonard E. Benade Hearing Site: Charlotte, NC
| | $0 |
14-03506 | 06/27/2017 | Claimant(s): Barbara Dean Claimant Lawyers(s): Richard B. Fosher Respondent(s): Morgan Stanley Respondent Lawyers(s): Gregory B. Simon Arbitrator(s): Leah A. Murray, Michael L. Lyons, A.J. Seier Hearing Site: St. Louis, MO
| | $0 |
16-01261 | 06/27/2017 | Claimant(s): Jan Tullis, Scott Tullis Claimant Lawyers(s): Joshua L. Ross Respondent(s): Andrew Hall, Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Rick D. Hampton, Stephany Adriene Watson, Paul R. Meyer Hearing Site: Portland, OR
| | $191,772 |
16-01462 | 06/27/2017 | Claimant(s): Daniel Schaefer Claimant Lawyers(s): Daniel Schaefer Respondent(s): Source Capital Group. Respondent Lawyers(s): David Harris Arbitrator(s): Michael J. Meeusen, John W. Eichleay, Vincent S. Mezinko Hearing Site: Columbus, OH
| | $0 |
15-02661 | 06/26/2017 | Claimant(s): Madeleine Carrero, Ulises Barros Carrero, Fideicomiso Ulises Barros Claimant Lawyers(s): Melanie S. Cherdack Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Guillermo J. Bobonis, Matthew E. Wolper Arbitrator(s): Gerald Silverman, Joseph Benalt, Paul J. Burkhart Hearing Site: Miami, FL
| | $793,680 |
16-01564 | 06/26/2017 | Claimant(s): Daniel Oleary, Jennifer Oleary, Patrick Oleary, Sandra Oleary Claimant Lawyers(s): Daniel Gwertzman Respondent(s): National Securities Corporation Respondent Lawyers(s): Renan I. Sugarman Arbitrator(s): Mark L Miller, Robert S. Sugarman, Raymond P. Buschmann Hearing Site: Chicago, IL
| | $0 |
15-02532 | 06/23/2017 | Claimant(s): Audrey Woznicki, Clark Woznicki Claimant Lawyers(s): David Liebrader Respondent(s): Levi Lindemann Respondent Lawyers(s): Levi David Lindemann Arbitrator(s): Brett W. Olander Hearing Site: Minneapolis, MN
| | $190,300 |
17-00273 | 06/23/2017 | Claimant(s): Simco Company Claimant Lawyers(s): Bruce Simon Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Richard M. Norman Hearing Site: Los Angeles, CA
| | $0 |