| 15-03035 | 01/10/2017 | Claimant(s): George Sofis, Preya Saroop, Rohit Saroop
Claimant Lawyers(s): David Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Cameron Stout
Arbitrator(s): Edward Blumstein, Carol A. Schuyler, Simon Jonathan Lawrence
Hearing Site: Richmond, VA
|  | $1,544,800 |
| 16-00666 | 01/09/2017 | Claimant(s): Cynthia Strini
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Labron Toles, Philip Dina, Silva Velez
Respondent Lawyers(s): Labron Manosa Toles, Philip A. Dina, Silva Alexander Velez
Arbitrator(s): Jane C. Carney
Hearing Site: Baltimore, MD
| | $24,574 |
| 15-01932 | 01/06/2017 | Claimant(s): Paulomi Agashiwala
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Giusti, Sergio Rosa
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Shelley Teitelbaum, Mary Lou McGanney, Susan Jane Harrigan
Hearing Site: New York, NY
| | Expungement |
| 15-03176 | 01/06/2017 | Claimant(s): Barbara Lattanze, Robert Lattanze
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Catherine Mewborn, Sterne Agee Financial Services.
Respondent Lawyers(s): J. Anthony Penry, Peter S. Fruin
Arbitrator(s): Gayle B. Carlson
Hearing Site: Raleigh, NC
| | $6,593 |
| 13-03752 | 01/06/2017 | Claimant(s): Barbara Ann Lyster Trust
Claimant Lawyers(s): Barbara Ann Lyster
Respondent(s): Adam MacDonald, Wells Fargo Advisors, Pamela Adams
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kenneth E. Owen, Judith Porter, Richard William DeWeese
Hearing Site: Los Angeles, CA
| | $0 |
| 15-01225 | 01/06/2017 | Claimant(s): Paul & Beatrice Hessong
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Buda Yao, Costa Tzotzis, James Webb, Jeff Bodner, Michael Lovett, Cape Securities Inc.
Respondent Lawyers(s): Judy Newcomb
Arbitrator(s): David L. Ruderman, Jane Tam, Harold Craig Cohen
Hearing Site: Baltimore, MD
| | $0 |
| 15-02501 | 01/05/2017 | Claimant(s): The Estate of Roger W. Geiken
Claimant Lawyers(s): Aaron Israels
Respondent(s): Rebecca Gorrell
Respondent Lawyers(s): Mark E. McFarland
Arbitrator(s): Reggie C. Giffin, James C. Morrow, Henry R. Cox
Hearing Site: Kansas City, MO
| | Expungement |
| 15-02896 | 01/04/2017 | Claimant(s): Stanley Kebe
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): David Horonzy, Janney Montgomery Scott LLC
Respondent Lawyers(s): Samuel E.. Cohen
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-03291 | 01/04/2017 | Claimant(s): Jay McCay
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Diane Ciccone, Edward Blumstein, William J. Hirsch
Hearing Site: Philadelphia, PA
| | Expungement |
| 14-01450 | 01/03/2017 | Claimant(s): WRI Vending Machines.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez Freire
Arbitrator(s): Michael S. Yauch, Joseph Neal Richardson, Maria Eliz Hernandez
Hearing Site: San Juan, PR
| | $983,336 |
