| 16-00467 | 10/10/2016 | Claimant(s): Harold Sherman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, Timothy B. Atkins
Arbitrator(s): Marc T. Danon, Raymond E. Cornelius, Richard Merritt Langway
Hearing Site: Orlando, FL
|  | Expungement |
| 16-00524 | 10/10/2016 | Claimant(s): Shari Osweiler Swartz
Claimant Lawyers(s): Shari Osweiler Swartz
Respondent(s): Stifel, Nicolaus & Co.., John Horton, Joshua Horton
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Charles Scott McClellan
Hearing Site: Helena, MT
| | $0 |
| 15-03389 | 10/07/2016 | Claimant(s): Stephens Associates Trust
Claimant Lawyers(s): Richard Ohendalski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
| | $0 |
| 16-00522 | 10/06/2016 | Claimant(s): Susan Holland
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): James Kraatz
Respondent Lawyers(s): Lisa M. Serra
Arbitrator(s): Timothy J. Currier
Hearing Site: Detroit, MI
| | $0 |
| 15-02212 | 10/05/2016 | Claimant(s): Leaman Ames, Pamela Ames
Claimant Lawyers(s): Mitchell S. Chaban
Respondent(s): Brent Hurt, RBC Capital Markets LLC, Redridge Securities.
Respondent Lawyers(s): Brent Hurt, Ronald P. Kane
Arbitrator(s): Robert W. Edler, Marilee Roberg, Jules Ira Crystal
Hearing Site: Chicago, IL
| | $430,824 |
| 15-01862 | 10/04/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Geoffrey Beckham
Respondent(s): Armando Cervantes
Respondent Lawyers(s): Armando Cervantes
Arbitrator(s): William Ziering, William P. Bergsten, Paul R. Meyer
Hearing Site: Seattle, WA
| | $0 |
| 14-01816 | 10/04/2016 | Claimant(s): Barbara Padillia, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki
Arbitrator(s): Isidoro Berkman, Peter H. Daly, Mario Singleton
Hearing Site: San Francisco, CA
| | $1,933,000 |
| 16-00788 | 10/03/2016 | Claimant(s): David Battle
Claimant Lawyers(s): David D. Battle
Respondent(s): Optionshouse
Respondent Lawyers(s): Myra Mormile-Wolper
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
| | $0 |
| 15-00294 | 09/30/2016 | Claimant(s): Alba Pfeffer
Claimant Lawyers(s): Alba T. Pfeffer
Respondent(s): Andre Mirkine, Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Peter A. Goldman, Leona Beane, Tracey Scott Bernstein
Hearing Site: New York, NY
| | $0 |
| 16-00201 | 09/30/2016 | Claimant(s): Robert Gray
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Isreal Torres, John Riccardi, Meyers Associates, L.P.
Respondent Lawyers(s): David A. Schrader, Isreal Wilfredo Torres, John F. Riccardi
Arbitrator(s): Jill I. Gross
Hearing Site: Albany, NY
| | $300 |
