| 14-02450 | 06/03/2016 | Claimant(s): Anna Baugh, Colin Baugh, Madeline Baugh, Margaret Polito, Madeline Baugh IRA, Margaret Polito IRA
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Matthew D. Klafter
Arbitrator(s): Jo-Marie Lisa, Steven M. Guttell, John Austin Darden
Hearing Site: Albuquerque, NM
|  | $150,600 |
| 14-03446 | 06/03/2016 | Claimant(s): Marie Cabral
Claimant Lawyers(s): Marie Cabral
Respondent(s): Wells Fargo Advisors, James Connors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Robert Titus, Stephen Z. Frank, Jeffrey S. Troderman
Hearing Site: Montpelier, VT
| | Expungement |
| 15-02020 | 06/03/2016 | Claimant(s): Joel Pironti
Claimant Lawyers(s): Joel Pironti
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-02623 | 06/03/2016 | Claimant(s): David Bartelme
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Packerland Brokerage Services.
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Gary L. Grolle
Hearing Site: Milwaukee, WI
| | $0 |
| 15-03158 | 06/03/2016 | Claimant(s): Michael Stott
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Anthony Minerva, Daniel Dvorznak, Gregory Dean, Michael Valdini
Respondent Lawyers(s): Ian J. Frimet
Arbitrator(s): Jim Geiger
Hearing Site: Richmond, VA
| | $300 |
| 14-02904 | 06/01/2016 | Claimant(s): James Parker and Maria Parker JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Marc Whitehead, Paul Celentano, Harbor Financial Services
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Ruth C. Adrian, Audrey Belitz Rauchway, John B. Roe
Hearing Site: Tampa, FL
| | Expungement |
| 14-03379 | 06/01/2016 | Claimant(s): Larry Kattman
Claimant Lawyers(s): Louise J. Kattman
Respondent(s): Wells Fargo Advisors, Michael Lundin
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Mark L Miller, Sherrill Wm Colvin, Todd Machowiak
Hearing Site: Indianapolis, IN
| | Expungement |
| 15-01700 | 06/01/2016 | Claimant(s): Denis P. Doyle IRA, Denis P. Doyle Revocable Trust FBO Denis, Gloria R. Doyle Revocable Trust FBO Glor
Claimant Lawyers(s): Aaron M. May, Grant B. Gelberg
Respondent(s): Morgan Stanley, Peter Doyle, Wendy Feldman
Respondent Lawyers(s): Ronald E. Wood
Arbitrator(s): Gary Timothy Haight, Susan B. Gans-Smith, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $8,606,600 |
| 14-02849 | 05/31/2016 | Claimant(s): The John A. Caw Estate
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | $66,225 |
| 14-03619 | 05/31/2016 | Claimant(s): William Essex
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Nina Vallion
Hearing Site: Portland, OR
| | Expungement |
