| 16-01449 | 12/12/2016 | Claimant(s): Alden Fisher, Alyssa Fisher
Claimant Lawyers(s): Alden Fisher
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Timothy M. Huksey
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
|  | $914 |
| 16-02115 | 12/12/2016 | Claimant(s): Claude Scott
Claimant Lawyers(s): Claude A. Scott
Respondent(s): Edward Jones
Respondent Lawyers(s): Robert J. Osdieck
Arbitrator(s): Julius Z. Frager
Hearing Site: St. Louis, MO
| | $535 |
| 14-02156 | 12/09/2016 | Claimant(s): William Newcomer, NNN Parkway Corporate Plaza 4
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Erinn Ford, Jeffrey Sims, Mark McCloskey, Philip Pizelo, Shanon Ford, Clearview Wealth Management, Pacific West Securities., The Estate of Robert A. Cannon
Respondent Lawyers(s): Diane M. Meyers, Erinn June Ford, Jeffrey Scott Sims, Mark Thomas McCloskey, Philip A. Pizelo, Shanon L. Ford, Shanon Lane Ford
Arbitrator(s): John F. Cockburn, Melvyn Jay Simburg, Donald H. Mullins
Hearing Site: Seattle, WA
| | Expungement |
| 15-01200 | 12/09/2016 | Claimant(s): William D Fitzharris
Claimant Lawyers(s): William D Fitzharris
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Susan L. Luck, James F. Major, Brock Bingham Gordon
Hearing Site: Charlotte, NC
| | Expungement |
| 15-02121 | 12/09/2016 | Claimant(s): Jose Fernandez, Marixa Hernandez
Claimant Lawyers(s): Luis E. Minana, W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones
Arbitrator(s): Richard H. Potter, James L. Warren, Matthew Stephen Duchesne
Hearing Site: San Juan, PR
| | $391,476 |
| 15-03092 | 12/09/2016 | Claimant(s): Revocable Trust of Ralph Day
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael L. Lyons, James P. O'Grady, Charles Orlove
Hearing Site: St. Louis, MO
| | Expungement |
| 16-00493 | 12/09/2016 | Claimant(s): David Kode
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Stuart M. Schwartz, Carl J. Disalvatore, Ronald Francis Thompson
Hearing Site: Syracuse, NY
| | Dismissed by Rule 12206 |
| 16-00359 | 12/08/2016 | Claimant(s): Lightspeed Trading
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Jaime Collin
Respondent Lawyers(s): Jaime H. Collin
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | Stipulated Award |
| 15-01808 | 12/08/2016 | Claimant(s): Johanna Pischel, Michael Pischel
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Kurt Uzbay, Morgan Stanley Smith Barney
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Lincoln W. Craighead, Keely D. Parr, Alexander Paul Corner
Hearing Site: New York, NY
| | Expungement |
| 15-02488 | 12/07/2016 | Claimant(s): Karl Roberts
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Casey Rodriguez, Richard Brown, Brookstone Securities.
Respondent Lawyers(s): Casey Thomas Rodriguez, David W. Locy, Richard Lydon Brown
Arbitrator(s): Roger B. Jacobs
Hearing Site: New York, NY
| | $72,358 |
