| 16-00281 | 02/13/2017 | Claimant(s): Iris Hahn
Claimant Lawyers(s): David Edgar Bamberger
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Keely D. Parr, Joyce Clayborne, Joanne Park
Hearing Site: New York, NY
|  | Expungement |
| 14-02259 | 02/13/2017 | Claimant(s): Judy Vermillion, H.O. Vermilion Trust
Claimant Lawyers(s): Judy L. Vermillion
Respondent(s): Daniel Deighan
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Mauricio Arcadier, Alan E. Linden, Brian Gerard Curtis
Hearing Site: Orlando, FL
| | $0 |
| 16-00441 | 02/10/2017 | Claimant(s): Mavis Kolman, Ronald O. Kolman
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Jonah Engler, Jonathan Sheklow, Thomas Herity, William Bradley, HFP Capital Markets LLC
Respondent Lawyers(s): Jonah Engler, Jonathan Michael Sheklow, Thomas Francis Herity, Thomas Herity, William Kevin Bradley
Arbitrator(s): Lawrence R. Commers
Hearing Site: Minneapolis, MN
| | $33,117 |
| 15-00353 | 02/10/2017 | Claimant(s): Sheila Fernandes
Claimant Lawyers(s): Shyla Fernandes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Robert D. Sussin, Benjamin F. Breslauer, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | $0 |
| 15-01675 | 02/10/2017 | Claimant(s): David L. Oldani
Claimant Lawyers(s): Richard Frankowski
Respondent(s): UBS Financial Services Inc., Stewart Anderson
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Nashville, TN
| | $0 |
| 16-02298 | 02/10/2017 | Claimant(s): James Tyte, Susan Victoria-Tyte
Claimant Lawyers(s): Susan J. Victoria-Tyte
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Brian J. Burstin
Hearing Site: New York, NY
| | $213 |
| 15-03427 | 02/09/2017 | Claimant(s): June Burns, Perry Burns
Claimant Lawyers(s): David P. Meyer
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Chris Lazarini
Arbitrator(s): James W. Kerr
Hearing Site: Dallas, TX
| | $117,350 |
| 16-00078 | 02/09/2017 | Claimant(s): Marcia Barfield IRA, Norman J. Barfield IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): IMS Securities.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Douglas Wade Carvell, Joseph Neal Richardson, Richard Thomas Huston
Hearing Site: Dallas, TX
| | Expungement |
| 16-00222 | 02/09/2017 | Claimant(s): Bruce Pritz, Edward Edington, Jerry Oshinski, Lorraine Pritz, Robin Oshinski, Wallace Pritz, Edward Edington IRA, Jerry Oshinski IRA, Robin Oshinski IRA
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Louis Scherschel, Sigma Financial Corporation, Sigma Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Stephany D. McLaughlin
Arbitrator(s): James D. Adducci, Leon Fox, Edward John Zulkey
Hearing Site: Chicago, IL
| | Expungement |
| 14-01708 | 02/09/2017 | Claimant(s): Joe Poteat
Claimant Lawyers(s): Neil A. Riemann
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Leonard E. Benade, Lynne T. Albert, James Risen Gard
Hearing Site: Charlotte, NC
| | $0 |
