| 15-02655 | 10/24/2016 | Claimant(s): Western Wall & Ceiling Contractors Assoc
Claimant Lawyers(s): Burton Mark Senkfor
Respondent(s): Ronald Lee, Lee Capital Management, RJL Partners L.P.
Respondent Lawyers(s): Ronald J. Lee
Arbitrator(s): Richard J. Stall, Constance Ellen Boukidis, Owen Frances
Hearing Site: Los Angeles, CA
|  | $200,425 |
| 16-00531 | 10/24/2016 | Claimant(s): Anna Hostrop, William Rapp, Estate of Virginia Venable Rapp
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ariel Gursky
Arbitrator(s): Roger L Gavan, David John Reilly, Sara Kula
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 16-00614 | 10/24/2016 | Claimant(s): Greg Mastronardi
Claimant Lawyers(s): Richard T. Hunter
Respondent(s): Brian Nydegger, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | Expungement |
| 15-03326 | 10/24/2016 | Claimant(s): Timothy West
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Mark Miranda, Robert Ciaccio, Rubin Tollinchi
Respondent Lawyers(s): Mark Andrew Miranda, Robert Thomas Ciaccio, Rubin Anthony Tollinchi
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
| | $0 |
| 16-00925 | 10/24/2016 | Claimant(s): Clotilda Ware, Eugene J. Ware
Claimant Lawyers(s): Eugene J. Ware
Respondent(s): Joseph Colell
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Frank Sanclemente
Hearing Site: Boston, MA
| | $325 |
| 15-01241 | 10/21/2016 | Claimant(s): Michael Rose, The Amended Michael I. Rose Rev Living T
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Michael Lau, Herbert Branitsky, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | $13,050 |
| 16-01204 | 10/21/2016 | Claimant(s): Orthotek Inc.
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Anthony Minerva, Matthew DiGregorio, J.D. Nicholas & Associates.
Respondent Lawyers(s): Anthony Minerva, James Dolan, Matthew DiGregorio
Arbitrator(s): Richard Djokic
Hearing Site: Des Moines, IA
| | $30,005 |
| 15-02625 | 10/21/2016 | Claimant(s): A. Kochis
Claimant Lawyers(s): A. Raymond Kochis
Respondent(s): USAA Financial Advisors., USAA Investment Management Company
Respondent Lawyers(s): Theodore C. Schultz
Arbitrator(s): Stephen D Kursman, Richard Mark Gasperini, Louis Charles Schmitt
Hearing Site: Pittsburgh, PA
| | $0 |
| 14-03823 | 10/20/2016 | Claimant(s): Doretta Hennan, Philip Henann
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): National Securities Corporation, Robert Child
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Robert G. Geeseman, Glenn Franklin Fuller
Hearing Site: Miami, FL
| | Expungement |
| 15-02988 | 10/20/2016 | Claimant(s): Caren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
| | Expungement |
