| 16-02497 | 05/26/2017 | Claimant(s): Yagil Hertzberg
Claimant Lawyers(s): Yagil Hertzberg
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Matthew H. Ladner
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
|  | $0 |
| 15-02089 | 05/25/2017 | Claimant(s): Dickie Moritz, Phyllis A. Mortiz Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors, Summit Brokerage Services.
Respondent Lawyers(s): Alan S. Rafterman, John W. Shaw
Arbitrator(s): Michael D. Fitzgerald, Rody P. Biggert, Lawrence R. Rute
Hearing Site: Kansas City, MO
| | Expungement |
| 16-01844 | 05/25/2017 | Claimant(s): Aspen Creek Partners
Claimant Lawyers(s): Eugene Mone
Respondent(s): VTB Capital Inc.
Respondent Lawyers(s): Robert G. Heim
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | $0 |
| 16-00180 | 05/24/2017 | Claimant(s): Marlene Lane
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Susan L. Walker, John L. Krauss, William Peter Kealey
Hearing Site: Indianapolis, IN
| | Expungement |
| 16-00394 | 05/23/2017 | Claimant(s): Interactive Brokers
Claimant Lawyers(s): Daniel A. Spector
Respondent(s): Todd Rinaldi
Respondent Lawyers(s): Todd Rinaldi
Arbitrator(s): Ilene T. Gormly, Mary C. Davis, Jeffrey Thomas
Hearing Site: Denver, CO
| | $0 |
| 16-01703 | 05/23/2017 | Claimant(s): Camille Burns, Kevin Burns
Claimant Lawyers(s): Ken Abele
Respondent(s): Wells Fargo Advisors, Ameriprise Financial Services., Steven Levin
Respondent Lawyers(s): Demian J. Betz, Edward Walton
Arbitrator(s): John Richard Lynch
Hearing Site: Miami, FL
| | Expungement |
| 16-03568 | 05/23/2017 | Claimant(s): Jack Shewmake
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Bryce Willis, Terry Bagwell, MetLife Securities Inc.
Respondent Lawyers(s): Kathryn R. Eldridge, Mickey B. Wright, Paul M. James
Arbitrator(s): Karen Roberts Washington, Debra Black Leo, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 14-02122 | 05/22/2017 | Claimant(s): Aida Mancini, Conchita Rivera, Joaqmar.
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Frank J. Cuccio, Matthew C. Plant
Arbitrator(s): Monroe Mitchel, Keith L. Saunders, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Expungement |
| 15-00027 | 05/19/2017 | Claimant(s): Robert Dale, Robert Dale IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Daniel Levin, Scott Schroeder
Respondent Lawyers(s): Daniel Edward Levin, Scott Donovan Schroeder
Arbitrator(s): Elliott Zachary Seff, Brent J. Rosenbaum, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | $23,848 |
| 13-00263 | 05/19/2017 | Claimant(s): Dayna Bolera, Thomas Bolera
Claimant Lawyers(s): Leonard P. Haberman
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Joseph M. Callow
Arbitrator(s): Gloria O. North, Ilisa J. Smukler, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $0 |
