| 15-02987 | 08/10/2016 | Claimant(s): Caren Kramer, Lauren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): James J. Fishman
Hearing Site: New York, NY
|  | Expungement |
| 15-00887 | 08/10/2016 | Claimant(s): Joanna Cottrell
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Woodridge Capital Portfolio Management
Respondent Lawyers(s): Joshua Horn
Arbitrator(s): Anita Rae Shapiro, Ronald F. Rybandt, Daniel James Yee
Hearing Site: Los Angeles, CA
| | $0 |
| 15-01395 | 08/10/2016 | Claimant(s): Thomas Suchocki
Claimant Lawyers(s): Raymond J. Zane
Respondent(s): Scott Wiese, Sun National Bank, Invest Financial Corporation
Respondent Lawyers(s): Barry Temkin, James A. Kellar, Kate E. DiGeronimo
Arbitrator(s): Steven T. Stern, Timothy C Russell, Mary Jane Walk
Hearing Site: Philadelphia, PA
| | $0 |
| 16-00838 | 08/10/2016 | Claimant(s): Frank Wang
Claimant Lawyers(s): Sabine Stovall
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Deborah Gale Evans
Arbitrator(s): Sharon R. Merriman
Hearing Site: Louisville, KY
| | $0 |
| 14-03376 | 08/09/2016 | Claimant(s): Central American Management, Ltd, Servicios Integrados en Pre-Neccesidad
Claimant Lawyers(s): Jorge A. Mestre, Vincent Schmeltz
Respondent(s): Vicente Ferrera Azarak, Global Investor Services, L.C.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Nancy J. Cliff, Theodore Roy Bayer
Hearing Site: Miami, FL
| | Expungement |
| 15-03191 | 08/09/2016 | Claimant(s): Paulette Thomas
Claimant Lawyers(s): David Neuman
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Nancy J. Cliff
Hearing Site: Miami, FL
| | Dismissed by Rule 12206 |
| 15-01494 | 08/08/2016 | Claimant(s): Mark Savage, M1 Capital Advisors LLC
Claimant Lawyers(s): Samuel M. Johnson
Respondent(s): Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Ronald Heineman
Arbitrator(s): Douglas Randall Blohm, Frederick Ramos, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $132,925 |
| 13-03077 | 08/05/2016 | Claimant(s): Anthony Barbato, Anthony Barbato Trustess of
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Anastasios Belesis, JTF Private Wealth Management, John Thomas Financial
Respondent Lawyers(s): Anthony C. Varbero, Dan A. Druz, Maria Cummings
Arbitrator(s): Stanley F. Meyerson, Joseph I. Liebman
Hearing Site: New York, NY
| | $57,524 |
| 15-02710 | 08/05/2016 | Claimant(s): Ronald Judd
Claimant Lawyers(s): Michael R. Schmidt
Respondent(s): Morgan Stanley, Max Van Benschoten, Ronny Bass
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Lisa Shusterman, Linda M. Foster-Wells, Gerald W. Hepp
Hearing Site: Cincinnati, OH
| | Expungement |
| 14-01415 | 08/05/2016 | Claimant(s): Susan Mueller
Claimant Lawyers(s): Dale R. Jensen
Respondent(s): David Thompson, Wall Street Financial Group.
Respondent Lawyers(s): Marni Rae Robin, Michael Schwartzberg
Arbitrator(s): Richard E. Lauziere, Christopher M. McMurray, David R. Johnson
Hearing Site: Richmond, VA
| | $0 |
