| 15-00014 | 08/24/2016 | Claimant(s): Albert Febbo, Anthony Bonner, Barbara Brown, Beck Demery, Betty Markey, Bryan Solt, Carol Cutler, Charles Katko, Dana Shanbrom, David Bonner, David Wesenberg, Debi Howe, Diane Crivella, Erwin Billig, Frederick Allor, Gary Lannen, George Fetsco, Harlan Blomquist, Harold Sperlich, Jacqueline Wojas, et al
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Edward M. Olson, Michael J. Meeusen, Michele Renee Zinn
Hearing Site: Detroit, MI
|  | Expungement |
| 15-02440 | 08/24/2016 | Claimant(s): Robert Rovner
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo G. Kogan
Arbitrator(s): John J. Jordan, Alan M. Schankel, Richard N. Kelmans
Hearing Site: Philadelphia, PA
| | $115,000 |
| 16-00324 | 08/24/2016 | Claimant(s): Helen Sylvester
Claimant Lawyers(s): Helen Sylvester
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): John Daly
Hearing Site: New York, NY
| | $0 |
| 16-00213 | 08/23/2016 | Claimant(s): Billy Hackworth
Claimant Lawyers(s): Billy T. Hackworth
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Richard E. Lauziere
Hearing Site: Richmond, VA
| | $213 |
| 14-02448 | 08/22/2016 | Claimant(s): Roger A. Papa Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Timothy J. Currier, Michael J. Meeusen, Benjamin A. Kerner
Hearing Site: Detroit, MI
| | $0 |
| 07-03217 | 08/19/2016 | Claimant(s): Bryan Shand, Bryan Shand Pension Fund, Dunnedin Estates Overseas Ltd, Dunnedin Ltd, Khaleej Investments Ltd
Claimant Lawyers(s): Adam M. Thompson
Respondent(s): Mckyle Clyburn, Ross Mandell, Sky Capital LLC, The Thornwater Company, L.P.
Respondent Lawyers(s): Compliance Officer, Mcklye Clyburn, Robert John Grabowski, Ross Mandell
Arbitrator(s): John J. Phelan, James J. Fishman, Edna Rubin Sussman
Hearing Site: New York, NY
| | $1,312,000 |
| 15-00187 | 08/19/2016 | Claimant(s): Gene Jones, Succession Representative of Thomas Jone
Claimant Lawyers(s): Jessica Vasquez
Respondent(s): Raymond James Financial Services., Scottie Traylor, Trey Curtis
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Mark A. Myers, Rene Guas, William Gilbert Faulk
Hearing Site: New Orleans, LA
| | Expungement |
| 15-00343 | 08/19/2016 | Claimant(s): Richard D. Wieboldt & Linda D. Wieboldt
Claimant Lawyers(s): Scott Greco
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Janet Stern Solomon, Arthur J. Salzberg, Judith B. Ittig
Hearing Site: Washington, DC
| | Expungement |
| 15-00304 | 08/19/2016 | Claimant(s): Jacob Zabara, Zabara Family 2012 Irrevocable Trust UAD
Claimant Lawyers(s): Ryon M. McCabe
Respondent(s): FMSBonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Diane M. Perry, Roy B. Gonas, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $218,600 |
| 14-02180 | 08/18/2016 | Claimant(s): Melford Fuller
Claimant Lawyers(s): Melford B. Fuller
Respondent(s): Erguis Mertiri, J.P. Morgan Securities
Respondent Lawyers(s): Kenneth F. Berg
Arbitrator(s): Brian J. Burstin, Nancy Plesser Wendell, Syma Sambar Lande
Hearing Site: New York, NY
| | $0 |
