| 14-00829 | 06/15/2016 | Claimant(s): Keith Melton, CUB Melton Properties, Confidential Communications Consultants, H.K.M. Investments., H.K.M. Nevada, LTD, Melton Management., The H. Keith Melton Grantor Trust
Claimant Lawyers(s): Andrew Mytelka, Jeannie Urbani
Respondent(s): Amie Thompson, Kim Isaacson, Morgan Stanley, Paul Shoemaker
Respondent Lawyers(s): Beth A. Black, Daniel D. Hill
Arbitrator(s): Carl Shechter, Lisa Marie Macci, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
|  | $3,586,990 |
| 14-01405 | 06/15/2016 | Claimant(s): Kenneth Adams
Claimant Lawyers(s): Kenneth W. Adams
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Thomas A. Martin, Edward Thomas Leech, Victoria P Jalo
Hearing Site: Houston, TX
| | $0 |
| 15-03354 | 06/15/2016 | Claimant(s): Farbod Farahan
Claimant Lawyers(s): Farbod Farahan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 15-01288 | 06/13/2016 | Claimant(s): Geraldine James, James Living Trust
Claimant Lawyers(s): David M. Gaba, Patricia L. Vannoy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Robert M. Stein, G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $78,341 |
| 15-02887 | 06/13/2016 | Claimant(s): Dennis Mahoney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): Peter R. Day
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
| 14-02234 | 06/10/2016 | Claimant(s): Bernard Feldman L.L.L.P./L.L.P., Barry Rein Living Trust DTD 10/25/2005, Debra Rein Living Trust dtd 10/25/2005
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Randy R. Freedman, Howard L. Conklin, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-02574 | 06/09/2016 | Claimant(s): Michael Caprario
Claimant Lawyers(s): Michael Caprario
Respondent(s): Dain StokesL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
| | Expungement |
| 15-03365 | 06/09/2016 | Claimant(s): Joseph Pankowski
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Colin Archer, Meyers Associates, L.P.
Respondent Lawyers(s): David A. Schrader
Arbitrator(s): Susan L. Walker
Hearing Site: Milwaukee, WI
| | $19,790 |
| 14-03624 | 06/09/2016 | Claimant(s): Deborah Zwizanski, Jon Soler
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Ronald P. Wertheim, Paul J. Leis, Edward Vincent Zenzola
Hearing Site: Philadelphia, PA
| | $0 |
| 13-02396 | 06/08/2016 | Claimant(s): Bruce Lanzetta
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Gregory Flemming, Lawrence Banks
Respondent Lawyers(s): Gregory Flemming, Lawrence Allen Banks
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $10,525 |
