| 15-02033 | 04/25/2017 | Claimant(s): Steven Hedrick
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Robert H. Putnam, Michael E. Weddington
Hearing Site: Raleigh, NC
|  | Expungement |
| 15-03006 | 04/25/2017 | Claimant(s): Baynes Family Trust, Jack A. and Sarah Cohen Family Trust
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Daniel Levin, Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Neil S. Jasper, Michael Joseph Desmond, DeMarlo Matine Sims
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-03063 | 04/25/2017 | Claimant(s): Barbara Kaye, Barbara J. Kaye Revocable Living Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Richard J. Stall
Hearing Site: Las Vegas, NV
| | Expungement |
| 16-01830 | 04/25/2017 | Claimant(s): Jacqueline Wachs, Saul Wachs, Saul H. Wachs RevocableTrust
Claimant Lawyers(s): Marc A. Wites
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-02916 | 04/24/2017 | Claimant(s): Gary Harris
Claimant Lawyers(s): Gary G. Harris
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Theodore R. Bynum
Arbitrator(s): Jane A. Smith, Neil Harvey Smith, William Scarr Shefte
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
| 15-01457 | 04/20/2017 | Claimant(s): Richard Eslich
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Jeffrey M. Bain, Leonard Arthur Nelson, Robert M Lustig
Hearing Site: Cleveland, OH
| | Stipulated Award |
| 16-00395 | 04/20/2017 | Claimant(s): Harry Beres
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Wilbanks Securities.
Respondent Lawyers(s): Aaron B. Wilbanks
Arbitrator(s): Richard Djokic, Rey Hernandez Julian, Rebecca Sone O'Rourke
Hearing Site: Denver, CO
| | $130,789 |
| 16-00707 | 04/20/2017 | Claimant(s): Michael Lebner, Patricia Lebner
Claimant Lawyers(s): Adam Gana
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Ericka B. Gray, Denise L. Presley, Christopher William McHallam
Hearing Site: Boston, MA
| | Expungement |
| 16-02169 | 04/20/2017 | Claimant(s): Carol Cohen, Martin Cohen
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Annamaria Boccia Smith, Benjamin L. Anderson, Steven Hale Zousmer
Hearing Site: New York, NY
| | Expungement |
| 16-02988 | 04/20/2017 | Claimant(s): The Estate Of T Florida Seneca
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Peter L. Michaelson
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206 |
