| 13-03266 | 07/18/2016 | Claimant(s): Luther Furlow
Claimant Lawyers(s): Luther C. Furlow
Respondent(s): Andre LaBarbera, Kathleen McPherson, Newport Coast Securities.
Respondent Lawyers(s): Andre Vincent LaBarbera, Dan A. Druz
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
|  | $0 |
| 14-02953 | 07/18/2016 | Claimant(s): Ann Oldfather, F/B/O Ann B. Oldfather, Oldfather & Morris Profit Sharing Plan
Claimant Lawyers(s): Robert S. Deskins
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jill Bradley, Wachovia Securities, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Jeffrey M. Bain, Allan Weiss, Robert Laurence Astorino
Hearing Site: Louisville, KY
| | $181,757 |
| 15-01757 | 07/18/2016 | Claimant(s): John Long
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Keith Roberts
Hearing Site: New York, NY
| | $0 |
| 14-02694 | 07/15/2016 | Claimant(s): Larry and Carol Wiles, ATBE
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven M. Feder, Richard J. Lawrence, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | Expungement |
| 14-02915 | 07/15/2016 | Claimant(s): Joan Galloway, Robert Galloway, The Galloway Family Trust
Claimant Lawyers(s): Joshua H. Sisam
Respondent(s): Financial Advisers Of America
Respondent Lawyers(s): Kenneth Johnston
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $1,541,720 |
| 14-03513 | 07/15/2016 | Claimant(s): MDR Securities
Claimant Lawyers(s): Donald J. Hayden
Respondent(s): James Scullin, UBS Financial Services Inc., Stephen Sullivan
Respondent Lawyers(s): Tamara D. McKeown, Wes Holston
Arbitrator(s): Barth Satuloff, Will Murphy, Paul J. Burkhart
Hearing Site: Miami, FL
| | Expungement |
| 12-04195 | 07/15/2016 | Claimant(s): Lundes Garrett
Claimant Lawyers(s): Lundes Garrett
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Jill Leeds-Rivera, Michael P. Marryshow, Carla Fisher
Hearing Site: Philadelphia, PA
| | $0 |
| 15-00297 | 07/14/2016 | Claimant(s): Leah Hancock, LH Publishing LLC
Claimant Lawyers(s): Daniel Gwertzman
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): I. Douglas Dunipace, Howard W. Shannon, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $125,300 |
| 15-03150 | 07/13/2016 | Claimant(s): Timothy Craiger
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Capital City Securities
Respondent Lawyers(s): Todd E. Crawford
Arbitrator(s): James R. Duncan, Mark S. Priver, James Stephan Mulholland
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 14-02204 | 07/12/2016 | Claimant(s): Latif Ziyar
Claimant Lawyers(s): Brian N. Folland
Respondent(s): Jerry Lawless, Investment Centers Of America.
Respondent Lawyers(s): Jeffrey E. Fields
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | $4,550 |
