| 16-01537 | 11/03/2016 | Claimant(s): Jospeh Serpente
Claimant Lawyers(s): Gary Schafkopf
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin Lewis
Arbitrator(s): Paul Allan Massaro
Hearing Site: Newark, NJ
|  | $35 |
| 15-00202 | 11/02/2016 | Claimant(s): Elizabeth Johnson
Claimant Lawyers(s): Elizabeth H. Johnson
Respondent(s): Lloyd Painter, Painter Financial
Respondent Lawyers(s): Brian Nally
Arbitrator(s): James Clifton Stone, Allan Weiss, Anthony G. Belak
Hearing Site: Louisville, KY
| | $0 |
| 16-01900 | 11/02/2016 | Claimant(s): Jeffrey Owen Roth IRA, Wendy Heywood Roth IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Michelle M. Atlas
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $0 |
| 15-00681 | 11/01/2016 | Claimant(s): The Last Will & Testament of R.Gaffney
Claimant Lawyers(s): Nicholas P Iavarone
Respondent(s): Morgan Stanley, Richard Colbert
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Susan L. Walker, Shelby Webb, Walter Patrick Giblin
Hearing Site: Chicago, IL
| | $0 |
| 15-00211 | 10/28/2016 | Claimant(s): Greenall.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): LPL Financial LLC, George Leidel
Respondent Lawyers(s): Joshua A. Katz, Ryan T. Probstfeld
Arbitrator(s): Patricia Gunn, John B. Roe, Karl A. Vogeler
Hearing Site: Tampa, FL
| | Expungement |
| 14-03206 | 10/28/2016 | Claimant(s): Paul Levy
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Mark S. Foster, Thomas B. Phillips, Michael D. Fitzgerald
Hearing Site: Kansas City, MO
| | $0 |
| 16-00141 | 10/27/2016 | Claimant(s): Jennifer Schall
Claimant Lawyers(s): Jennifer Childe Schall
Respondent(s): Morgan Stanley, Liliana Paz-Franco
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | $300 |
| 14-02688 | 10/25/2016 | Claimant(s): Ana Galva Rodriguez, Josefa Rodriguez, Paula Rodriguez Rodriguez
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto Quinones-Rivera, W. Preston Martin
Arbitrator(s): Daniel J. Pagnano
Hearing Site: San Juan, PR
| | Expungement |
| 15-02862 | 10/25/2016 | Claimant(s): Joyce Gorham-Worsley
Claimant Lawyers(s): Joyce Gorham-Worsley
Respondent(s): Alonza Barnett, Institutional Capital Management.
Respondent Lawyers(s): Alonza Barnett, Douglas Yauger
Arbitrator(s): Karen A. West
Hearing Site: Raleigh, NC
| | $0 |
| 15-00235 | 10/24/2016 | Claimant(s): Estate of Daniel Drummond
Claimant Lawyers(s): Andrew D. Gowdown
Respondent(s): Charles James, Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Robert A. Dean, Dana Tait Sandlin, Richard James Igou
Hearing Site: Columbia, SC
| | $5,988 |
