| 15-03491 | 09/09/2016 | Claimant(s): Athalie G. Silverberg Revocable Trust
Claimant Lawyers(s): Todd L. Silverberg
Respondent(s): The GMS Group
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
|  | $18,382 |
| 14-03194 | 09/08/2016 | Claimant(s): Douglas Caron
Claimant Lawyers(s): Douglas R. Caron
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John Michael Clear
Arbitrator(s): James M. Shaker, Scott D. Rash, Akili Lucilla Estrella
Hearing Site: Seattle, WA
| | $0 |
| 14-01168 | 09/07/2016 | Claimant(s): EFM Retirement Plan UAD 12/19/11
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): BBVA Securities of Puerto Rico., Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez Freire
Arbitrator(s): Steven R. Reininger, Martin A. Feigenbaum, Jaime Rosario
Hearing Site: San Juan, PR
| | Expungement |
| 15-02213 | 09/07/2016 | Claimant(s): Cory Fein, Kathryn Kersh, Paula Ebow, Sylvia Vargas, Caddell & Chapman
Claimant Lawyers(s): Cory S. Fein
Respondent(s): UBS Financial Services Inc., Michael Karchmer
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 14-02430 | 09/06/2016 | Claimant(s): Michael Consolo
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Michael Nathanson, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 15-01446 | 09/06/2016 | Claimant(s): Jeffrey Tuttle, Victoria Tuttle, Jeffrey Tuttle IRA, Jill Ryan IRA, Stephen Ryan IRA, Victoria Tuttle FBO Victoria Tuttle IRA, Robert E and Doreen L Ryan Family Trust
Claimant Lawyers(s): Robert S. Banks
Respondent(s): James Millegan, J.W. Millegan.
Respondent Lawyers(s): Jeanne K. Sinnott
Arbitrator(s): William J. Chambers, Larry T. Coady, Christopher Harding Kent
Hearing Site: Portland, OR
| | $443,000 |
| 13-02129 | 09/02/2016 | Claimant(s): Carol Skop, John Skop
Claimant Lawyers(s): Howard B. Cohen
Respondent(s): Russell Grosjean, Timothy Dembski
Respondent Lawyers(s): Eric Soehnlein, Russell James Grosjean
Arbitrator(s): F. Harris Nichols, Kathleen Hoey Gorr, Andrea Bailey
Hearing Site: Buffalo, NY
| | Expungement |
| 15-02204 | 09/02/2016 | Claimant(s): Andrew Carsell, Linda Carsell
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Michael Deboer, Interactive Brokers LLC, Signator Financial Services.
Respondent Lawyers(s): John J. Nielands, Joshua N. Cook, Michael Jon Deboer
Arbitrator(s): Carole M. Crosby, Francis Eugene Welper, David Schwartzberg
Hearing Site: Tampa, FL
| | $0 |
| 14-03827 | 09/01/2016 | Claimant(s): Renee Kelsch
Claimant Lawyers(s): Jared A Levy
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia Cowart
Arbitrator(s): Bruce K. Isenberg, Herbert Branitsky, Harry Albirt
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-00354 | 09/01/2016 | Claimant(s): Benjamin G. Thompson Family Trust dated
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): John G. Manley, Patricia Best Vital, J. Wesley Romine
Hearing Site: Birmingham, AL
| | Expungement |
