| 16-01307 | 12/05/2016 | Claimant(s): Louis Schillinger
Claimant Lawyers(s): John A Hubbard
Respondent(s): Steven Meyer, Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber, Steven John Meyer
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
|  | $52,480 |
| 14-03440 | 12/01/2016 | Claimant(s): George and Gloria Brooks
Claimant Lawyers(s): Steven D, Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): George S. Willingham, Harvey R. Linder, James C. Hoover
Hearing Site: Atlanta, GA
| | Expungement |
| 14-02852 | 12/01/2016 | Claimant(s): Omega Facility Services Solutions Surety
Claimant Lawyers(s): Brandon S. Steele
Respondent(s): Edward Herbst, Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Thomas H. Barnard, Christopher M. McMurray, John C. Aten
Hearing Site: Charleston, WV
| | $0 |
| 16-01727 | 11/29/2016 | Claimant(s): Judy Wagner, Robert Wagner
Claimant Lawyers(s): Judy L. Wagner, Robert F. Wagner
Respondent(s): Raymond James Financial Services., Ronald Wilson
Respondent Lawyers(s): Aaron Furniss
Arbitrator(s): Peter A. Portley
Hearing Site: Boca Raton, FL
| | $21,343 |
| 16-01279 | 11/29/2016 | Claimant(s): Diane Back
Claimant Lawyers(s): Adam S. Tracy
Respondent(s): JP Morgan Institutional Investments Inc.
Respondent Lawyers(s): Luis F. Calvo
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 16-00021 | 11/28/2016 | Claimant(s): Linda Anthony
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): MML Investors Services, Voya Financial Advisors.
Respondent Lawyers(s): Bryce Benson, William P. Thornton
Arbitrator(s): Dale C. Putman, Susan A. Berson, Joseph Neal Richardson
Hearing Site: Wichita, KS
| | Expungement |
| 15-01546 | 11/28/2016 | Claimant(s): Jonathan Tran, Trustee of the Jonathan T
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Gilliat Schroeder, Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand, Molly J. Henry
Arbitrator(s): Joseph C. Roberts, Elwood C. Avery, Joseph Lincoln Carman
Hearing Site: Seattle, WA
| | $0 |
| 15-01654 | 11/28/2016 | Claimant(s): Joseph Dotolo, Joseph R. Dotolo Rev Trust, Joseph R. Dotolo TTEE
Claimant Lawyers(s): Paul J. Pisano
Respondent(s): Kirstin Turner, Lisa Lowi, RBC Capital Markets LLC
Respondent Lawyers(s): Frank J. Cuccio, Jason S. Haselkon
Arbitrator(s): Joseph Charles Kennedy
Hearing Site: Providence, RI
| | $0 |
| 12-02927 | 11/25/2016 | Claimant(s): C. L. King & Associates.
Claimant Lawyers(s): Richard A. Roth
Respondent(s): William Nicklin
Respondent Lawyers(s): Steven J. Shore
Arbitrator(s): Romaine L. Gardner, Joseph B. Russell, Carole L. Green
Hearing Site: New York, NY
| | $0 |
| 15-03368 | 11/25/2016 | Claimant(s): Whitman Evans
Claimant Lawyers(s): Michael J. Betts
Respondent(s): Charles Correal, Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Susan M. Thevenet, Richard W. Dissen, Miles David Braverman
Hearing Site: Pittsburgh, PA
| | $0 |
