| 14-02524 | 06/19/2017 | Claimant(s): Rosalie Lanzisera, Rosalie A. Lanzisera, IRA
Claimant Lawyers(s): Joseph A. Sack
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Joan M. Traub, Howard L. Sobel, Doris B. Nathan
Hearing Site: New York, NY
|  | $0 |
| 16-00265 | 06/15/2017 | Claimant(s): Gesang Verein Harmonia Inc.
Claimant Lawyers(s): David P. Meyer
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Gavin F. Quill
Arbitrator(s): Elliot B. Platt, Laura Marini Davis, Kattina V. Barsik
Hearing Site: Philadelphia, PA
| | $0 |
| 16-01476 | 06/15/2017 | Claimant(s): James Holstein Rev. Trust dated 10/24/14, Lisa Holstein Rev. Trust dated 10/24/14
Claimant Lawyers(s): John C. Barlow
Respondent(s): Chicago Partners Investment Group LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Kenneth N. Adamson, Jerome Arthur Connolly, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $0 |
| 16-01479 | 06/14/2017 | Claimant(s): Robert Yun
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Mark Karow, Legend Securities.
Respondent Lawyers(s): Mark Alan Karow, Sergio Caruso
Arbitrator(s): Susan Manca
Hearing Site: New York, NY
| | $0 |
| 17-00165 | 06/12/2017 | Claimant(s): Paul Michel
Claimant Lawyers(s): Paul Michel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Thomas E. Shuck
Hearing Site: Las Vegas, NV
| | $0 |
| 15-02910 | 06/09/2017 | Claimant(s): Estate of Mary Anne Trottier
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Morgan Stanley, Steven Crawford
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Steven Gourley, Mark S. Priver, Michael Harrison
Hearing Site: Los Angeles, CA
| | $396,623 |
| 16-00712 | 06/09/2017 | Claimant(s): Susan Wilson
Claimant Lawyers(s): Jason Haselkorn
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Carl Shechter, Donald Theodore Ryce, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | $0 |
| 16-00856 | 06/09/2017 | Claimant(s): Thomas Lally, Thomas C. and Nancy G. Lally Rev Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Donald DeWaay, DeWaay Capital Management., DeWaay Financial Network
Respondent Lawyers(s): Donald Gene DeWaay, Donald Dewaay, Kristi Irving
Arbitrator(s): Thomas J. Gmeinder, Betty R. Crumpton, Thomas J. Duff
Hearing Site: Des Moines, IA
| | $880,425 |
| 16-02659 | 06/08/2017 | Claimant(s): Eilleen Wogan, Lisa Wogan
Claimant Lawyers(s): Adam Gana
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Katherine Hendricks, William W. Haskell, Stephen E. DeForest
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
| 16-02935 | 06/08/2017 | Claimant(s): Mark Dryden
Claimant Lawyers(s): James Bouklas
Respondent(s): Michael Clements, Tory Duggins, Avenir Financial Group
Respondent Lawyers(s): Michael Todd Clements, Michael Clements, Tory A. Duggins
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: Honolulu, HI
| | $26,727 |
