| 14-02954 | 06/24/2016 | Claimant(s): Nancy Plum, John W. Plum Trust
Claimant Lawyers(s): John W. Plum
Respondent(s): Dean Trindle, Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce Lewitas, Jennifer R. Willey
Arbitrator(s): Jack A. Helms, Mitchel Weiss, Robert L. Cowles
Hearing Site: Jacksonville, FL
|  | Expungement |
| 15-02879 | 06/24/2016 | Claimant(s): Matthew Sherin
Claimant Lawyers(s): Christian M. Sande
Respondent(s): Woodbury Financial Services., Patrick O' Leary
Respondent Lawyers(s): John Rock, Ronald W. Sannicandro
Arbitrator(s): Philip J. Glick
Hearing Site: Minneapolis, MN
| | $300 |
| 15-02911 | 06/23/2016 | Claimant(s): Michelle Roberts
Claimant Lawyers(s): Michelle M. Roberts
Respondent(s): Mark Otta, Monica John, RBC Capital Markets LLC, Stanley Cooper
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-00097 | 06/22/2016 | Claimant(s): John McNicholas, Natalie Illig McNicholas
Claimant Lawyers(s): Justin Sauerwald
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Seth L. Finkel, Gerald Silverman, Glenn Franklin Fuller
Hearing Site: Miami, FL
| | Expungement |
| 12-04241 | 06/22/2016 | Claimant(s): Sonia Romagosa
Claimant Lawyers(s): Sonia Romagosa
Respondent(s): Carlos Getino, Ameriprise Financial Services.
Respondent Lawyers(s): Matthew D. Klafter
Arbitrator(s): Gerald F. Corrigan, Laurent C. Vonderweidt, Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02570 | 06/22/2016 | Claimant(s): Thaddeus Kabat
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Arthur Coffey
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): John J. Kenny
Hearing Site: Boston, MA
| | $300 |
| 13-00303 | 06/20/2016 | Claimant(s): Jerzy Mendelka, JM Property SP Z.O.O. SP K, NDV Investment Company
Claimant Lawyers(s): Jerzy Mendelka
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Virginia C. Palitz
Arbitrator(s): William G. Binckes, Camille S. Cooper, Benjamin D. Krause
Hearing Site: New York, NY
| | $0 |
| 13-01182 | 06/20/2016 | Claimant(s): Brett Bennett, John Meekin, Philip Hobley, Richard Wayne, Christopher Testa IRA
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Anastasios Belesis, John Thomas Financial
Respondent Lawyers(s): Anthony C. Varbero, Maria Cummings
Arbitrator(s): Henry G. Plaster, Yvette C. Hatfield, Heidi Markovitz
Hearing Site: Washington, DC
| | $0 |
| 14-00292 | 06/20/2016 | Claimant(s): Estate of Earl L. Everline, Karl J. EverlineTTee of Everline Family
Claimant Lawyers(s): Kelly Everline
Respondent(s): Raymond James Financial Services., Janney Montgomery Scott LLC
Respondent Lawyers(s): Amy E. Sparrow, Robert M. Rudnicki
Arbitrator(s): Elliot B. Platt, Jim Geiger, Mary L. Sims
Hearing Site: Philadelphia, PA
| | $0 |
| 14-03234 | 06/17/2016 | Claimant(s): Ivette Gonzalez, Reinaldo Gonzalez
Claimant Lawyers(s): Edward H. Glenn, Marie Elsie Lopez Adames
Respondent(s): Santander Securities
Respondent Lawyers(s): Jason R. Aguilo Suro
Arbitrator(s): Lynne M. Gomez, Susan G. Pinkston, Brandon Scott Peters
Hearing Site: San Juan, PR
| | Expungement |
