| 15-03252 | 01/18/2017 | Claimant(s): Brian Arnold
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Joseph Schaffer
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
|  | $300 |
| 15-03309 | 01/18/2017 | Claimant(s): Laudine L. Ploetz, 1985 Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ryan G. Fant
Arbitrator(s): Barry Goldman, Jeffrey W. Jacobs, Alain Frecon
Hearing Site: Minneapolis, MN
| | $0 |
| 16-01549 | 01/17/2017 | Claimant(s): Dorothy H. Thompson Rev Trst UAD 1/15/91
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): FMSBONDS, INC
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Will Murphy, Thomas W. Allen, Victor Bernard Gent
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 16-02085 | 01/17/2017 | Claimant(s): Yin Lee
Claimant Lawyers(s): Yin Lee
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
| | $0 |
| 15-02789 | 01/13/2017 | Claimant(s): Jane Baum, Larry Baum
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Hantz Financial Services.
Respondent Lawyers(s): David Shea
Arbitrator(s): Jeffry M. Bauer, John F. Burns, Seth H. Barsky
Hearing Site: Detroit, MI
| | $86,425 |
| 16-00131 | 01/13/2017 | Claimant(s): Kurt Martyn
Claimant Lawyers(s): Edward J. Christensen
Respondent(s): Jim Corona, Scottrade Inc.
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Charles A. Palmer
Hearing Site: Detroit, MI
| | $3,225 |
| 16-02524 | 01/13/2017 | Claimant(s): Darlene Platt
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black
Arbitrator(s): Daniel P. Lund
Hearing Site: Boca Raton, FL
| | $15,082 |
| 15-03089 | 01/12/2017 | Claimant(s): Robert Francis
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Legend Equities Corporation
Respondent Lawyers(s): David Smitham
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | Expungement |
| 16-01352 | 01/12/2017 | Claimant(s): Denise Weiss
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
| | $600 |
| 13-02866 | 01/11/2017 | Claimant(s): Madeline Gomez-Horta, Socorro Horta, Victor Gomez, Inversiones VM Gomez
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): Jose Ramirez, UBS Financial Services Inc., UBS Financial Services Inc Puerto Rico
Respondent Lawyers(s): Guillermo Ramos Luina, Peter J. Macdonald, Roberto C. Quinones-Rivera
Arbitrator(s): S. William Gersten, Jeffrey R. Roth, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
| | $18,214,900 |
