| 14-03136 | 05/09/2017 | Claimant(s): Bruce Bunnell, Michele DiGregorio, Sean Bunnell
Claimant Lawyers(s): Adam B. Wolf, Jason J. Kane
Respondent(s): Dalton Strategic Investment Services Inc
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Herb Schwartz, Howard M. Hoffman, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
|  | $306,223 |
| 16-00499 | 05/09/2017 | Claimant(s): Terry Denisco Rev Tr Terry Denisco TTEE
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Steven Gerard Goerke, Paul Weinberg, Jeffrey Scott Shapiro
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02898 | 05/08/2017 | Claimant(s): Benjamin Peters Trust dtd 12/3/1993, Ellen Mia Peters Trust, Lynn E. Gorguze Separate Property Trust, Vincent and Gloria Gorguze Trust dtd 3/2
Claimant Lawyers(s): John G. Rich, Ross B. Intelisano
Respondent(s): Candace Weir, C. L. King & Associates.
Respondent Lawyers(s): Christopher F. Robertson, Richard A. Roth
Arbitrator(s): Otis E. Hackett, Michael D. Briggs, Randall Brian Christison
Hearing Site: San Diego, CA
| | $0 |
| 15-02588 | 05/08/2017 | Claimant(s): Munbilla Investments, Ltd.
Claimant Lawyers(s): David R. Clouston
Respondent(s): Richard Szelc, Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): G. Maynard Green, Karen Roberts Washington, Joseph G. Werner
Hearing Site: Dallas, TX
| | $0 |
| 14-02725 | 05/05/2017 | Claimant(s): Nattura CV
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Stephen Kahane, Carolyn E. Moore, Lawrence C. Levey
Hearing Site: Miami, FL
| | Expungement |
| 16-02107 | 05/05/2017 | Claimant(s): Velma Lockley
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 15-02672 | 05/05/2017 | Claimant(s): Britta Nosbaum, Finn G. Nosbaum Trust, Lillian R. Nosbaum Trust
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Stephen L. Gardner
Arbitrator(s): Theodore W. Wrobleski, Lynn Hirschfeld Brahin, Irving S. Capitel
Hearing Site: Chicago, IL
| | $0 |
| 16-02966 | 05/05/2017 | Claimant(s): The Estate of Helen Nottingham
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Fifth Third Securities., Kevin Benjamin
Respondent Lawyers(s): Christen M. Steimle
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $0 |
| 16-02491 | 05/04/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Monica Garcia
Respondent Lawyers(s): Everardo B. Garcia
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
| 14-02548 | 05/04/2017 | Claimant(s): Antonio Guadarrama, Ivonne Gonzalez, Jose Guadarrama
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Mauricio O. Muniz Luciano
Arbitrator(s): Randy R. Freedman, William S. Glickfield, David Edward Upton
Hearing Site: San Juan, PR
| | Expungement |
