| 14-02916 | 06/08/2016 | Claimant(s): Clayton Strack
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): William Tufts, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): James F. Zotter, William H. King, John A. Cook
Hearing Site: Portland, OR
|  | Expungement |
| 14-03169 | 06/08/2016 | Claimant(s): Brianna M. Leddy, Brooke Y. McWilliams, Connor McWilliams, Michael Leddy, Morgan E. McWilliams, Ryan Leddy, Shane W. McWilliams, IRA FBO Karen L. McWilliams, Karen L. and Kirk A. McWilliams
Claimant Lawyers(s): Vicki Kuftic Horne
Respondent(s): Patricia Miller, Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward, Patricia S. Miller
Arbitrator(s): Kathleen P. Helbig-Hannan, Christopher Lepore, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
| | $320,490 |
| 14-00751 | 06/08/2016 | Claimant(s): Wendy Glick
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Morgan Stanley, Scott Drayer
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Monroe Mitchel, Bruce K. Isenberg, Will Murphy
Hearing Site: Boca Raton, FL
| | $0 |
| 15-00598 | 06/07/2016 | Claimant(s): Richard Forde, RGA Forde, Godwin Fund Partners, L.P.
Claimant Lawyers(s): Brian J. Brislen
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): John A. Baynes, Frank Samuel Perri, Celeste A. Beron
Hearing Site: Charlotte, NC
| | $1,050,750 |
| 12-01987 | 06/07/2016 | Claimant(s): Estate of John Montfort
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Candace Weir, Peter Bulger, Robert Benton, C. L. King & Associates.
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Lucas A. Ferrara, Daniel P. Lund, Carl J. Disalvatore
Hearing Site: New York, NY
| | $10,000,000 |
| 13-02815 | 06/07/2016 | Claimant(s): Estate of Beverly Montfort
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Candace Weir, C. L. King & Associates.
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Lucas A. Ferrara, Daniel P. Lund, Carl J. Disalvatore
Hearing Site: New York, NY
| | $0 |
| 15-02590 | 06/06/2016 | Claimant(s): Arline Schaubach
Claimant Lawyers(s): Nicole Iannarone
Respondent(s): Tim Gerds, U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Rody P. Biggert
Hearing Site: Milwaukee, WI
| | $5,200 |
| 15-02676 | 06/06/2016 | Claimant(s): McDaniel Family Trust
Claimant Lawyers(s): Janice April McDaniel
Respondent(s): Barry Armstrong, Brendan Hayes, Securities America., Paul Parsons, Susan Powers
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Paul A. Auerbach
Hearing Site: Boston, MA
| | Dismissed by Rule 12504 |
| 15-02899 | 06/06/2016 | Claimant(s): Thao Hua
Claimant Lawyers(s): Thao Hua
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Timothy M. Huskey
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02980 | 06/06/2016 | Claimant(s): James Collins
Claimant Lawyers(s): James C. Collins
Respondent(s): Byron Posadas, Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
| | $0 |
