| 14-02864 | 04/05/2016 | Claimant(s): Ashley Lowe, James "Russell" Fregia, Larry Lowe, Laura Lowe, Maxine Fregia, Melissa Prasek, Mike Prasek, Nathan Lowe, Cycast LTD, El Rey Salt Company.
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Southwest Securities., Wade Lawrence
Respondent Lawyers(s): Corbet F. Bryant, Wade Lawrence
Arbitrator(s):
Hearing Site: Dallas, TX
|  | $167,737 |
| 14-02766 | 04/04/2016 | Claimant(s): Melissa Conway
Claimant Lawyers(s): Robert L. Schibel
Respondent(s): Wells Fargo Advisors, Daniel Klein
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert D. Sussin, Norman Michael Garland, Robert Edward Koondel
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-01809 | 04/04/2016 | Claimant(s): Joan Kellerts
Claimant Lawyers(s): Joan Kellerts
Respondent(s): Kenneth Hirsch, Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $26,583 |
| 14-03167 | 04/01/2016 | Claimant(s): Aundre Franklin, Assurance Developers & Construction Inc.
Claimant Lawyers(s): Aundre Franklin
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): James A. Parker, Franklin R. Morgan, Clark Willis Richards
Hearing Site: Houston, TX
| | $2,600 |
| 14-02624 | 04/01/2016 | Claimant(s): International Fidelity Insurance Company
Claimant Lawyers(s): Julius A. Rousseau
Respondent(s): Francis Mitterhoff, Charles Schwab & Co.., Maria Costa, Vincent Leonetti, Vincent Riccordella
Respondent Lawyers(s): Gilbert R. Serota, Julius A. Rousseau, Lawrence Cohen
Arbitrator(s): Louis H. Miron, Alan Gradzki, Joan Dawn Hogarth
Hearing Site: Newark, NJ
| | $0 |
| 16-00375 | 04/01/2016 | Claimant(s): William Peel
Claimant Lawyers(s): Sean Sweeney
Respondent(s): Todd Shanholtzer
Respondent Lawyers(s): Todd Alan Shanholtzer
Arbitrator(s): David E. Jarvis
Hearing Site: Milwaukee, WI
| | $0 |
| 14-03223 | 03/30/2016 | Claimant(s): Soleiman Ghalili
Claimant Lawyers(s): Ken Nathanson
Respondent(s): Steven Bernstein, Metropolitan Life Insurance Company
Respondent Lawyers(s): Alexandra Drury, Jeffrey E. Fields
Arbitrator(s): June McLaughlin, Robert Alan Merring, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-00696 | 03/30/2016 | Claimant(s): Sondra Steinberg
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Joseph L. Bernstein, David Rich, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $53,500 |
| 13-00140 | 03/29/2016 | Claimant(s): Dangreen, Danwash
Claimant Lawyers(s): Abraham Borenstein
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): Sam Antar, Jacob Scherer, Joseph Michael Dougherty
Hearing Site: Newark, NJ
| | Expungement |
| 14-03462 | 03/29/2016 | Claimant(s): Robert Berger, Ronnie Berger, Robert Berger CPA Profit Sharing Plan, Robert & Ronnie Berger Revocable Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Monica I. Salis, Lawrence M. Green, James M. Scutti
Hearing Site: Boca Raton, FL
| | Expungement |
