| 15-03002 | 05/16/2016 | Claimant(s): Wilton Scronce
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): George Carris, Michael Clark, Steven Nelson
Respondent Lawyers(s): George William Carris, Michael Kevin Clark, Steven Nelson
Arbitrator(s): Joe E. Manuel
Hearing Site: Charlotte, NC
|  | $50,600 |
| 15-00034 | 05/13/2016 | Claimant(s): Estate of Virginia Clavan
Claimant Lawyers(s): Peter Clavan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Robert J. Kheel, Romaine L. Gardner, Steven Gary Leventhal
Hearing Site: New York, NY
| | $0 |
| 15-01412 | 05/13/2016 | Claimant(s): Stuart Simpson
Claimant Lawyers(s): John L. Palmer
Respondent(s): Paulson Investment Company, James Schwartz, Joseph Lascala, Kevin Stamm, Shawn Mcchesney, Steven Luftschein, Thomas Custance
Respondent Lawyers(s): James Bradley Schwartz, Joseph Brian Lascala, Kevin Robert Stamm, Stephen P. McCarthy, Steven Robert Luftschein, Tanya Durkee Urbach, Thomas Michael Custance
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Los Angeles, CA
| | $300 |
| 14-01768 | 05/12/2016 | Claimant(s): Marion Brakefield, Marion Brakefield as the Executrix
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): W. William Harness, James Edward Seale, Rachel Kay Russell
Hearing Site: Birmingham, AL
| | Expungement |
| 14-02979 | 05/12/2016 | Claimant(s): Diana Stephens, Greg Stephens
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Douglas Veitch, Jason Anderson
Respondent Lawyers(s): Douglas Stuart Veitch, Jason Edward Anderson
Arbitrator(s): Steve A. Miller, Richard Djokic, Thomas R. Bromberg
Hearing Site: Denver, CO
| | $96,000 |
| 15-01218 | 05/11/2016 | Claimant(s): Gary Penner & Leslie-Ann Furie JTWROS, Gary Penner Profit Sharing Plan, Leslie-Ann Furie Profit Sharing Plan
Claimant Lawyers(s): Gary Penner
Respondent(s): Edward Moldaver, James Lee, Mark Stevenson
Respondent Lawyers(s): David Robbins, Jonathan L. Adler
Arbitrator(s): Karimu F. Hill-Harvey, Catherine Stewart, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
| 14-03402 | 05/09/2016 | Claimant(s): Jean Alban
Claimant Lawyers(s): Jack W. Merritt
Respondent(s): Wells Fargo Advisors, Eric Loche
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): William F. Glaser
Hearing Site: Tampa, FL
| | Expungement |
| 15-02397 | 05/09/2016 | Claimant(s): David Smith
Claimant Lawyers(s): David Neuman
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Alexander J. Nassar
Arbitrator(s): Jim Geiger, Robert M. Singer, Patrick Leo Kennedy
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
| 14-02644 | 05/09/2016 | Claimant(s): Brock Lansdale, Jill Lansdale
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Wells Fargo Advisors, Tim Haley
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Peter Kay, Marc Kalish, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
| | $113,610 |
| 15-03235 | 05/06/2016 | Claimant(s): Eleanor Stintzcum
Claimant Lawyers(s): Eleanor L Stintzcum
Respondent(s): Ameriprise Financial Services., Louis Delaney III
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
| | Expungement |
