| 16-00178 | 11/17/2016 | Claimant(s): The Estate of Charline D. Smith
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns.
Arbitrator(s): Michael D. Fitzgerald
Hearing Site: Kansas City, MO
|  | Expungement |
| 16-01640 | 11/17/2016 | Claimant(s): Jane Schultz
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Richard E. Miley
Hearing Site: Charlotte, NC
| | $9,850 |
| 15-02978 | 11/17/2016 | Claimant(s): Deborah Hawkins, James Hawkins
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William Mann
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | $0 |
| 13-01600 | 11/16/2016 | Claimant(s): Chakorn Phisuthikul, Marilyn Heinemann
Claimant Lawyers(s): Joshua Sisam
Respondent(s): Philip Pizelo, William Swayne, Pacific West Securities., WMS Financial Planners.
Respondent Lawyers(s): John W. Stenson, Philip A. Pizelo, Philip Anthony Pizelo, William Madison Swayne
Arbitrator(s): Elwood C. Avery, Linda A. Cotton, Ann Sattler
Hearing Site: Seattle, WA
| | $1,199,900 |
| 15-03358 | 11/16/2016 | Claimant(s): James Deitsch
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): William Gammon, Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund, Sean M. Golden
Arbitrator(s): Douglas Earl McLaren, Harvey Baum, Jane Tam
Hearing Site: Baltimore, MD
| | Dismissed by Rule 12206 |
| 15-03495 | 11/16/2016 | Claimant(s): Sefferino Guerrera, Sefferino Guerrera IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, David Kakuda, Morgan Stanley
Respondent Lawyers(s): Judy Louie, Kitoh Grey
Arbitrator(s): Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03649 | 11/14/2016 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Dewaay Financial Network
Respondent Lawyers(s): Robbie Howe
Arbitrator(s): R. Theodore Moock, Mark L. Williams, Jay M. Vogelson
Hearing Site: Dallas, TX
| | $3,206,070 |
| 14-01851 | 11/14/2016 | Claimant(s): Jose Biaggi Junquera, Josefina Landron
Claimant Lawyers(s): Francisco Pujol, Frank A. Dalmau
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Robert J. Morris, Earle J. Schwarz, Robert Finder
Hearing Site: San Juan, PR
| | Expungement |
| 15-03194 | 11/14/2016 | Claimant(s): Kevin Gross
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert L. Yeager, James C. Allums, Jay M. Vogelson
Hearing Site: Dallas, TX
| | Expungement |
| 14-02395 | 11/11/2016 | Claimant(s): Evelyn Koury
Claimant Lawyers(s): John R. Orie
Respondent(s): Joy Mitchell, Kevin Flavin, Janney Montgomery Scott LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Michael D. McDowell, William L. White, Max D. Halpern
Hearing Site: Pittsburgh, PA
| | Expungement |
