| 16-02292 | 12/20/2016 | Claimant(s): Sheila Masley
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Peter Roe
Respondent Lawyers(s): Jonathan R. Reich
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
|  | $300 |
| 13-00092 | 12/19/2016 | Claimant(s): Brad Burns, B&B Sheet Metal & Roofing., R&B Management LLP
Claimant Lawyers(s): Stephen W. Hance
Respondent(s): Marcus Renslow, Major League Capital, United Securities Alliance.
Respondent Lawyers(s): Jeffrey Cannella, Marcus A. Renslow
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 15-01169 | 12/19/2016 | Claimant(s): Dolores Hsu, Vadim Hsu
Claimant Lawyers(s): Morse Taylor
Respondent(s): Erin McNelly, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): David J. Anderson, Robert A. Lombardi, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | $31,682 |
| 14-02763 | 12/15/2016 | Claimant(s): Patricia Flock, Shmily Trust U/A dtd 10/04/2000
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): William M. Howard, Donald Dreyfus, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | Expungement |
| 15-00774 | 12/15/2016 | Claimant(s): George Farr, David P. Farr 2008 Revocable Trust, George I. Farr Revocable Trust, George I. Farr 2011 Irrevocable Trust, Judith A. Farr Revocable Trust, Norene Farr 2008 Revocable Trust
Claimant Lawyers(s): Peter R. Pendergast
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Eugene Tenenbaum, Sharon L. Monroe, John James McGovern
Hearing Site: Manchester, NH
| | Expungement |
| 15-02085 | 12/14/2016 | Claimant(s): David Covington
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Raymond C. Kerr, Barbara L. Edin, Daniel J. Pagnano
Hearing Site: New Orleans, LA
| | Expungement |
| 15-00333 | 12/13/2016 | Claimant(s): Beverly Bien, David Wellman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Mid Atlantic Capital Corporation
Respondent Lawyers(s): Erin N. Fischer
Arbitrator(s): Thaddeus J. Tecza, Mari C. Bush, Jo-Marie Lisa
Hearing Site: Denver, CO
| | $922,470 |
| 16-00017 | 12/13/2016 | Claimant(s): Julienne Ambrose
Claimant Lawyers(s): Alaba S. Ajetunmobi
Respondent(s): Citigroup Global Markets., Citibank NA
Respondent Lawyers(s): Eric R. Feld
Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Allen Edward Wisniewski
Hearing Site: Los Angeles, CA
| | $0 |
| 13-03238 | 12/12/2016 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Bryan Lubitz, Trident Partners LTD
Respondent Lawyers(s): Joseph F. Keenan, Robert I. Rabinowitz
Arbitrator(s): Linda S. Cole, Vincent C. Pangia, Cynthia A. DiMarco
Hearing Site: New York, NY
| | Stipulated Award |
| 14-03545 | 12/12/2016 | Claimant(s): Bruce Dixon, Eric Bergmann, Marla Dixon
Claimant Lawyers(s): David H. Jarvis
Respondent(s): Jerome Rydell, Wayne Pirmann, Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Wayne Pirmann
Arbitrator(s): Stephen D Kursman, Lee Hornberger, Carl E. Ver Beek
Hearing Site: Detroit, MI
| | Expungement |
