| 15-01677 | 05/04/2016 | Claimant(s): Jason Shook
Claimant Lawyers(s): Jason C. Shook
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ryan T. Barke
Arbitrator(s): Kathy L. Eisenmenger, Richard D. Fincher, Carla B. Minckley
Hearing Site: Salt Lake City, UT
|  | $0 |
| 14-01495 | 05/03/2016 | Claimant(s): Brian Miller
Claimant Lawyers(s): Jay J. Freireich
Respondent(s): David Briegs, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Julian F. Santos, Simone A. Muscarnera, Marc B Adelman
Hearing Site: Newark, NJ
| | Expungement |
| 15-02272 | 05/03/2016 | Claimant(s): Joseph Schirtzinger
Claimant Lawyers(s): Joseph M. Schirtzinger
Respondent(s): Putnam Retail Management Limited Partner
Respondent Lawyers(s): Kenneth Ashton
Arbitrator(s): Mark L Miller, Dale A. Crawford, Anthony Cipiti
Hearing Site: Columbus, OH
| | $0 |
| 14-02744 | 04/29/2016 | Claimant(s): Linda Shelton
Claimant Lawyers(s): Adam M. Green
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Expungement |
| 15-02039 | 04/29/2016 | Claimant(s): Frances Cey, Gilbert Solomon, Judy Solomon, Ronald Cey
Claimant Lawyers(s): Adam Gana, Adam Weinstein
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Valerie N. Gallo
Arbitrator(s): Joyce L. Hurley, Annette Gres Shepherd, Marvin B. Karelitz
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02956 | 04/29/2016 | Claimant(s): Oxford Valley Cardiology Associates, P.C
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): John Tillger
Respondent Lawyers(s): John Joseph Tillger
Arbitrator(s): Jim Geiger, Gregory Hunter Mathews, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $168,744 |
| 15-01300 | 04/29/2016 | Claimant(s): Billy Hackworth, Joe Parker
Claimant Lawyers(s): Billy T. Hackworth
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Robert D. Perrow
Arbitrator(s): Donald B. Vaden
Hearing Site: Richmond, VA
| | $49,000 |
| 15-00120 | 04/27/2016 | Claimant(s): Alexander Scanlon
Claimant Lawyers(s): Sanford Durmain
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Tibor L. Nagy
Arbitrator(s): Martin Izaak, Jerome H. Levy, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 12-03528 | 04/26/2016 | Claimant(s): Jennifer Palladino, Joseph Palladino, Susan Palladino, Susan and Joseph Palladino
Claimant Lawyers(s): Joseph M. Burke
Respondent(s): David Lerner Associates., Michael Norton
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Richard W. Sachse, William E. Nuckel, John J. Vesey
Hearing Site: New York, NY
| | Expungement |
| 14-01724 | 04/26/2016 | Claimant(s): Evelyn Johnson, Feliciano Dizon, Frank DiGrande, Harriett Eubanks, Marina Bautista, Trilby DiGrande
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Scott L. Metzger, Theodore J. Sawicki
Arbitrator(s): Joseph H. Sturdivant, Amy Seltzer, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $91,908 |
