| 15-03300 | 07/05/2016 | Claimant(s): Gary Ward
Claimant Lawyers(s): Gary Ward
Respondent(s): Associated Investment Services.
Respondent Lawyers(s): Michael Silver
Arbitrator(s): Donald M. Thompson
Hearing Site: Chicago, IL
|  | $0 |
| 14-01111 | 07/01/2016 | Claimant(s): Joyce Sullivan
Claimant Lawyers(s): Pamela R. Jones
Respondent(s): John King
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Alan A. Sachs
Hearing Site: Little Rock, AR
| | Expungement |
| 15-00695 | 07/01/2016 | Claimant(s): George Murphy & Cheryl Murphy
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Ameriprise Financial Services., Joseph Grund
Respondent Lawyers(s): Gerry A. Giurato, Niels P. Murphy
Arbitrator(s): Ellen J. Abrams, Sonja Shuford
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-02734 | 07/01/2016 | Claimant(s): Brandon Price, Carol Price, Cody Price, Jonathan Washington, Leslie Price, Patrick Price, Tania Price-Tilley, William Washington, Ecstasy Queen
Claimant Lawyers(s): Tania L. Price-Tilley
Respondent(s): Angela Bearup, Bahram Shidoosh, Craig Connor, Daniel Fuller, James Shoultz, Jeffrey Paulson, John Gustafson, Karen Smith, Kelley Densham, Charles Schwab & Co.., Rachel Brown, Richard Schroeder, Sean Connolly, Stephen Petti, Stephen Jay Muth
Respondent Lawyers(s): Angela Michelle Bearup, Dorothy Wolpert, Jeffrey Thomas Paulson, Mark T. Drooks
Arbitrator(s): Richard J. Stall, Edward Banian, Dana L. Bigman
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 15-01936 | 06/30/2016 | Claimant(s): Joseph Pica
Claimant Lawyers(s): Richard De Vita
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert R. Salman, Richard C. Antonelli, Brian J. Strum
Hearing Site: Newark, NJ
| | Expungement |
| 14-01580 | 06/29/2016 | Claimant(s): Noor Barsar
Claimant Lawyers(s): Jared Levy
Respondent(s): Wells Fargo Advisors, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Marc T. Danon, Carl Shechter, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-02673 | 06/29/2016 | Claimant(s): Terry D. Johnstone, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Norman S. Nayfach, Nancy A. Yonge, Arocles Aguilar
Hearing Site: Reno, NV
| | Expungement |
| 14-02995 | 06/29/2016 | Claimant(s): Florencio De Jesus, Jose Antonio Chevres, Margarita Vazquez
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Joel M. Everest, Roberto C. Quinones-Rivera
Arbitrator(s): Tina E. Patterson, Colleen Rotella, Lance A. Harke
Hearing Site: San Juan, PR
| | $363,552 |
| 13-02333 | 06/28/2016 | Claimant(s): Cheney Ranch, Singing Sage, Andrew Den Hoed, Sr. and Marie Den Hoed
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Joseph Gazes, Merrill Lynch Pierce Fenner & Smith Inc., Phil Scott
Respondent Lawyers(s): Ira G. Rosenstein, Timothy P. Burke
Arbitrator(s): Stephany Adriene Watson, Linda I. Thomas, Joseph Lincoln Carman
Hearing Site: Seattle, WA
| | Expungement |
| 15-00046 | 06/28/2016 | Claimant(s): John Hamann, Peggy Hamann
Claimant Lawyers(s): Gary S. Menzer, Jeffrey R. Sonn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Charles Scott McClellan, Clydia Jean Cuykendall, Joel I. Beerman
Hearing Site: Seattle, WA
| | Expungement |
