| 14-02356 | 05/31/2016 | Claimant(s): Janice Levy
Claimant Lawyers(s): Deborah R. Gross
Respondent(s): Wells Fargo Advisors, Kevin Larkin
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Gordon M. Wase, Fred M. Fleisher, Catherine Stewart
Hearing Site: Philadelphia, PA
|  | $0 |
| 15-00701 | 05/31/2016 | Claimant(s): Ted Mazurek
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Oppenheimer & Co.., John Wilson
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Emily B. Boote, David F. Schmitz, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 13-02835 | 05/27/2016 | Claimant(s): Joseph Sanberg
Claimant Lawyers(s): Todd H. Stitt
Respondent(s): Fidelity Brokerage Services LLC, Sean Oittinen, Stephen Fox
Respondent Lawyers(s): Ellen Sessions
Arbitrator(s): Robert D. Sussin, Joyce L. Hurley, Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02921 | 05/27/2016 | Claimant(s): William Eddy, Barbara Eddy Trust, William J. Eddy Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): John Weiss, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): M. W. Gear, William B. Ross, Verne R. Gray
Hearing Site: Des Moines, IA
| | Expungement |
| 15-00373 | 05/27/2016 | Claimant(s): Ian Preskett
Claimant Lawyers(s): Michael Liik
Respondent(s): Christopher Veale
Respondent Lawyers(s): Christopher Frederic Veale
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | $42,055 |
| 15-01041 | 05/25/2016 | Claimant(s): Martin Brewer, Richard Weber
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Nicholas John Taldone, Diana A. Weiner, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | $161,030 |
| 14-00755 | 05/24/2016 | Claimant(s): Kiranya Tipirneni, Prabhakar Tipirneni
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Charles White, Wilson Saville, Barrett & Company
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Gerard S. Marsan, Paul A. Auerbach, Amy Lampert
Hearing Site: Providence, RI
| | $267,890 |
| 14-01852 | 05/24/2016 | Claimant(s): William Gilmer, William B. Gilmer Living Trust
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Erinn Ford, Harold Hilton, Jeffrey Sims, Kathleen Lindeke, Leslie Cannon, Mark Mccloskey, Melissa Andrews, Philip Pizelo, Shanon Ford, Clearview Wealth Management, Pacific West Securities., The Estate of Robert A. Cannon
Respondent Lawyers(s): Harold Scott Hilton, John A. Bender, Justin C. Sawyer, Philip Anthony Pizelo
Arbitrator(s): Douglas Martin Crow, Brian B. Egan, Reuel Kenneth Fish
Hearing Site: Portland, OR
| | Expungement |
| 16-00994 | 05/24/2016 | Claimant(s): Isaac Organization, Joinmax Engineering Consultants, Negotiart of America.
Claimant Lawyers(s): David E. Robbins
Respondent(s): Rocco Guidicipietro
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Patricia Mary Reilly, Nancy J. Spieczny, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Expungement |
| 15-01066 | 05/23/2016 | Claimant(s): Keyon Dooling, Notosha Dooling, KLD Enterprises, John B. St. Clair and Shannon St. Clair
Claimant Lawyers(s): Charles Carlson
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Will Murphy, Christopher J. Klein, Brett Matthew Logan
Hearing Site: Miami, FL
| | $819,300 |
