| 16-02088 | 01/23/2017 | Claimant(s): Estate of Norma Parker
Claimant Lawyers(s): Michael S. Kasanoff
Respondent(s): Steven BarsolonaL Financial LLC
Respondent Lawyers(s): Peter W. Gillies
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
|  | $0 |
| 16-02377 | 01/23/2017 | Claimant(s): Bradford Smith
Claimant Lawyers(s): Mark Appleton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $300 |
| 15-02777 | 01/20/2017 | Claimant(s): Donnie Pate
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Alan Krim
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Mark R. Topper
Hearing Site: Jacksonville, FL
| | Expungement |
| 15-03218 | 01/20/2017 | Claimant(s): Ann Vazzana, Bruce Vazzana, Vazzana Underground Construction, Vazzana Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Joseph C. Watson, Owen Frances, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-01228 | 01/20/2017 | Claimant(s): Kenneth Rowan
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Bruce Guarino, Chris Wiseman, George Hasapes, Glen Stifelman, Rockwell Global Capital LLC
Respondent Lawyers(s): Aegis J. Frumento, Chris Michael Wiseman, George Peter Hasapes, Robert M. Bursky
Arbitrator(s): Michael L. Lyons, Kim L. Kirn, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | $0 |
| 16-00542 | 01/19/2017 | Claimant(s): Lisa Parmerlee
Claimant Lawyers(s): Gail E Boliver
Respondent(s): Donald Dewaay, Dewaay Financial Network
Respondent Lawyers(s): Donald Gene Dewaay, Robie Howe
Arbitrator(s): Richard Djokic
Hearing Site: Denver, CO
| | $337,000 |
| 15-01635 | 01/19/2017 | Claimant(s): Alan Barrett, Margaret Barrett
Claimant Lawyers(s): Robert B. Ingram
Respondent(s): LPL Financial LLC, Ernest Renner, Steven Lambert
Respondent Lawyers(s): Amir Tadjedin, Ryan Probstfeld, Thomas Franklin Barnett
Arbitrator(s): Thomas D. Reese, Jonathan H. Krotinger, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $0 |
| 15-02455 | 01/19/2017 | Claimant(s): Estate of Helen M. Sodney
Claimant Lawyers(s): Donald H Barton
Respondent(s): Robert Roth
Respondent Lawyers(s): Justin Joseph D'Elia
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
| | $0 |
| 16-00105 | 01/19/2017 | Claimant(s): Russell Day
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Frank Fusco, John Calardo, Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber, Michael C. Farkas
Arbitrator(s): Sondra Sellars
Hearing Site: Chicago, IL
| | $300 |
| 16-02346 | 01/18/2017 | Claimant(s): Verna Munden
Claimant Lawyers(s): Robert J. Slotkin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12504 |
