| 16-00786 | 09/16/2016 | Claimant(s): Larry Peterson
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Anthony Monaco, Robert Jean, Aegis Capital Corp.
Respondent Lawyers(s): Michael P. Gilmore, Robert Jean
Arbitrator(s): James Mark Eason
Hearing Site: Albuquerque, NM
|  | $0 |
| 14-02612 | 09/15/2016 | Claimant(s): John Gabay III, Karen Gabay, Gabay Private Trust dated 11/28/06
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Larry Michaels, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, Kayla S.S. Betbout
Arbitrator(s): Robert B. Hansohn, Richard Lee Fausett, John M Harvey
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00588 | 09/15/2016 | Claimant(s): Eilat Worldwide Invest Ltd.
Claimant Lawyers(s): Barry R. Fischer
Respondent(s): Edouard Crepy, Morgan Stanley
Respondent Lawyers(s): Lauren R. Whetstone
Arbitrator(s): Bernard A. Becker
Hearing Site: Miami, FL
| | Expungement |
| 15-02437 | 09/15/2016 | Claimant(s): Roger Quick, Roger A. Quick Irrevocable Trust
Claimant Lawyers(s): Brian C. Haussmann
Respondent(s): Morgan Stanley, Stuart Zimmerman
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 15-03355 | 09/13/2016 | Claimant(s): Wilbert Hamstra
Claimant Lawyers(s): Tina M. Bird
Respondent(s): National Securities Corporation, Nikolai Acevedo
Respondent Lawyers(s): Charles M. O'Rourke, Jay M. Israel
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
| 16-00665 | 09/13/2016 | Claimant(s): Marguerite Cuocolo, Robert Cuocolo
Claimant Lawyers(s): Robert Cuocolo
Respondent(s): J.P. Morgan Securities, Peter Ferriello
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): David J. Weisenfeld
Hearing Site: New York, NY
| | $600 |
| 15-01676 | 09/12/2016 | Claimant(s): Jeffrey Ball, Jeffrey D. Ball IRA
Claimant Lawyers(s): Philip M. Aidikoff, Ryan K. Bakhtiari
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Ronald L. Cameron, Constance Ellen Boukidis, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | $262,354 |
| 14-02531 | 09/12/2016 | Claimant(s): Gary LaRue, Mid-Con MFG.
Claimant Lawyers(s): Gary LaRue
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Stephen G. Sneeringer, Elton W. Chartrand, Robert J. Gregory
Hearing Site: Little Rock, AR
| | $0 |
| 16-00805 | 09/12/2016 | Claimant(s): Thomas Darga, Thomas M. Darga IRA
Claimant Lawyers(s): Jeffrey D. Gardner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Paul A. Cash
Hearing Site: Phoenix, AZ
| | $300 |
| 15-00295 | 09/09/2016 | Claimant(s): Jenny Robles Adorno, Jose Rivera Riera, Desarrollos Jarra S.E.
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Edwin A. Zipf, Roberto C. Quinones
Arbitrator(s): Thomas Joseph Atkinson, Donald Theodore Ryce, Michael S. Yauch
Hearing Site: San Juan, PR
| | $750,000 |
