| 15-03296 | 09/01/2016 | Claimant(s): Sam Askanazi, with
Claimant Lawyers(s): Jeffrey Askanazi
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): George G. Kurschner, Gilbert A. Schnirman, Mark A Bilawsky
Hearing Site: Boca Raton, FL
|  | $0 |
| 14-01650 | 08/31/2016 | Claimant(s): Donna Horwitz as Trustee of Alex and Hel, Donna Horwitz as Trustee of Helen M. Sol
Claimant Lawyers(s): David E. Wood
Respondent(s): Burt Derman, Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Howard R. Gaines, Allan Levey, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
| | Expungement |
| 15-01499 | 08/31/2016 | Claimant(s): Deborah Howland, Leon Howland
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Lynn Hirschfeld Brahin, Raymond P. Buschmann, William Gibson Heller
Hearing Site: Indianapolis, IN
| | $0 |
| 14-02409 | 08/30/2016 | Claimant(s): Victor Piro
Claimant Lawyers(s): Victor C. Piro
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s):
Hearing Site: Baltimore, MD
| | $0 |
| 15-00156 | 08/30/2016 | Claimant(s): Michael Hammel
Claimant Lawyers(s): Ryan Cook
Respondent(s): Michael Regina
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Mary Margaret Bush, Ralph L. Jacobson, Eric Carl Aker
Hearing Site: San Francisco, CA
| | $183,232 |
| 15-02214 | 08/30/2016 | Claimant(s): Darra Munn
Claimant Lawyers(s): Michael D. Mosher
Respondent(s): Wells Fargo Advisors, Dana Napier
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s):
Hearing Site: Dallas, TX
| | $0 |
| 16-01008 | 08/29/2016 | Claimant(s): Kathleen Sincerbeaux
Claimant Lawyers(s): Kathleen J. Sincerbeaux
Respondent(s): Wells Fargo Advisors Financial Network, First Clearing
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Edward W. Morris
Hearing Site: Augusta, ME
| | $9,603 |
| 16-00140 | 08/26/2016 | Claimant(s): James Peters
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Cassandra Woodward, Jeffery Fanning, Marlon Cole, Liberty Partners Financial Services
Respondent Lawyers(s): Jeffrey A. Fanning, Executive Rep., Stephanie D. Delia
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | $300 |
| 15-01096 | 08/25/2016 | Claimant(s): Camille Pisciotto
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Shelley Teitelbaum, Sandra J. Mullings, Noel B. Berman
Hearing Site: New York, NY
| | Expungement |
| 15-02683 | 08/25/2016 | Claimant(s): MacKenzie Realty Capital.
Claimant Lawyers(s): Antony Buchignani
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): William Ziering, Gary S. DeWeese, Javier Chavez
Hearing Site: San Francisco, CA
| | $0 |
