| 15-00885 | 07/26/2016 | Claimant(s): Roscoe Goehring, Sally Goehring
Claimant Lawyers(s): Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Elizabeth Poletti, Timothy N. Will
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Michael Craig Butterworth
Hearing Site: San Francisco, CA
|  | Expungement |
| 11-02019 | 07/26/2016 | Claimant(s): John Kelly, Ruth Kelly
Claimant Lawyers(s): James Borcia
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Leon Fox, Marilee Roberg, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $0 |
| 15-00666 | 07/26/2016 | Claimant(s): Megumi Sherrill, Richard Sherrill
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Leslie Cannon, Estate of Robert A. Cannon
Respondent Lawyers(s): Dan J. Oates
Arbitrator(s): William J. Bender, Jonathan H. Krotinger, Jane Ann McKenzie
Hearing Site: Seattle, WA
| | $0 |
| 16-00391 | 07/26/2016 | Claimant(s): Edward Alston
Claimant Lawyers(s): Edward D. Alston
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00737 | 07/25/2016 | Claimant(s): James J. Flanagan Shipping Corporation
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): John Labarca, National Securities Corporation
Respondent Lawyers(s): Derek Anderson, John Labarca
Arbitrator(s): Richard F. Dole, Byron G. Hannah, Andrea Joan Douglas
Hearing Site: Houston, TX
| | $504,443 |
| 15-01513 | 07/25/2016 | Claimant(s): Dean Garritson, Julia Garritson
Claimant Lawyers(s): Gail E Boliver
Respondent(s): Eric Cobb, Morgan Stanley & Co.
Respondent Lawyers(s): Brian C. Hale, David N. Jonson
Arbitrator(s): Langfred W. White, Walter J. Wylie, Dana Tait Sandlin
Hearing Site: Columbia, SC
| | $0 |
| 15-03221 | 07/25/2016 | Claimant(s): Philip Merryman
Claimant Lawyers(s): Philip Merryman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 16-00054 | 07/25/2016 | Claimant(s): David McCormick, Ellen McCormick
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew E. Gelfand
Arbitrator(s): Barry Goldman
Hearing Site: Pittsburgh, PA
| | $0 |
| 12-02967 | 07/22/2016 | Claimant(s): Edward Heil, Vincent Incopero
Claimant Lawyers(s): Vincent J. Incopero
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Theodore W. Wrobleski, Mark L Miller, Robert J. Albers
Hearing Site: Chicago, IL
| | Expungement |
| 15-00624 | 07/22/2016 | Claimant(s): Laura Bell
Claimant Lawyers(s): David Lefkowitz
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Arthur T. Berggren, Lawrence Yaeger, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $625,000 |
