| 14-03220 | 05/18/2017 | Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007
Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari
Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson
Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis
Hearing Site: Los Angeles, CA
|  | $1,379,400 |
| 15-02403 | 05/18/2017 | Claimant(s): Paul Lind
Claimant Lawyers(s): Joseph S. Fogel
Respondent(s): Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Thomas J. Gmeinder, Kerry C. Koep, Michael Sutton MacDonald
Hearing Site: Minneapolis, MN
| | $0 |
| 16-01661 | 05/18/2017 | Claimant(s): James White, Janet White
Claimant Lawyers(s): Mark E. Sanders
Respondent(s): Craig Franzke, Optionshouse
Respondent Lawyers(s): Craig Charles Franzke, Meredith F. Hoffman
Arbitrator(s): Randall B. Gold, David E. Jarvis, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | $272,776 |
| 16-02665 | 05/18/2017 | Claimant(s): Mark Owens
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Joseph Quinzi, Philip Sparacino, Thomas Myers, Alexander Capital, L.P.
Respondent Lawyers(s): Ian J. Frimet, Joseph Dominick Quinzi, Thomas Alexander Myers
Arbitrator(s): Barry Goldman
Hearing Site: Des Moines, IA
| | $0 |
| 14-01424 | 05/17/2017 | Claimant(s): Roger Donenfeld, Roger F. Donenfeld IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Daniel Terpak, National Securities Corporation, Melvin Stoutenburg, Mohammed Sheikh
Respondent Lawyers(s): Michael P. Gilmore, Randall C. Place
Arbitrator(s): Michael M. Hachigian, Robert E. Jenks, Madina C. Boland
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-03111 | 05/17/2017 | Claimant(s): Margaret White
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wall Street Strategies.
Respondent Lawyers(s): Anthony McGeorge
Arbitrator(s): William H. Fleece, John A. Torraco, Joanna Salapska-Gelleri
Hearing Site: Tampa, FL
| | $138,857 |
| 16-00036 | 05/17/2017 | Claimant(s): Richard Patterson, Richard Patterson Rev Liv Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Ron Pekoe, Mark R. Topper, Stuart K. Furman
Hearing Site: Orlando, FL
| | Expungement |
| 16-00336 | 05/17/2017 | Claimant(s): Kathy McKendry
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): TD Ameritrade Clearing., Kirk Spano, Bluemound Asset Management
Respondent Lawyers(s): Amanda Wright, Kirk Spano
Arbitrator(s): P. J. Boylan, David J. Hase, Philip J. Glick
Hearing Site: Milwaukee, WI
| | Stipulated Award |
| 16-00282 | 05/16/2017 | Claimant(s): Howard Shapiro, Marcia Shapiro
Claimant Lawyers(s): David Edgar Bamberger
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stephen M. Gross, Mary Lou McGanney, William James Cortellessa
Hearing Site: New York, NY
| | Expungement |
| 14-03577 | 05/16/2017 | Claimant(s): Manasquan Plaza., Estate of Lambros Constantinou
Claimant Lawyers(s): Daniel Gwertzman
Respondent(s): Steros Christoforou, Clark Dodge & Co..
Respondent Lawyers(s): Don Torrillo, Robert M. Bursky
Arbitrator(s): Charles L. Prothero, Edith M. Novack, William H. Steinhart
Hearing Site: Newark, NJ
| | $0 |
