| 14-02851 | 03/14/2016 | Claimant(s): Carol Molnar
Claimant Lawyers(s): Deanna LaPage
Respondent(s): David Diehl
Respondent Lawyers(s): David Diehl
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
|  | $53,962 |
| 15-02131 | 03/14/2016 | Claimant(s): June Madden
Claimant Lawyers(s): June D. Madden
Respondent(s): Jeffrey Sustarsic, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Ralph L. Halpern
Hearing Site: Syracuse, NY
| | $14,306 |
| 15-00307 | 03/11/2016 | Claimant(s): RS International Group Limited
Claimant Lawyers(s): Brian Levin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Bernard A. Becker, Gerald H. Grayson, Theodore Roy Bayer
Hearing Site: Miami, FL
| | $0 |
| 15-00273 | 03/10/2016 | Claimant(s): Elaine Hornyak IRA, Steven Hornyak IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Radcliffe Daly
Respondent Lawyers(s): Radcliffe Robert Daly
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | $15,769 |
| 12-00348 | 03/09/2016 | Claimant(s): Lila Jean Shay, Gerald and Katherine Darnell, Jack and Doris Huber, Robert and Robin Trick, Steven and Deborah Sheldon, William and Debbie Nelson, William and Sandra Burnside
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Mary Helen Mallett
Respondent Lawyers(s): Mary Helen Caprice Mallett
Arbitrator(s): W. Michael Kelley, John Edward Perry, Theodore J. DiSante
Hearing Site: Phoenix, AZ
| | $305,000 |
| 14-02572 | 03/09/2016 | Claimant(s): Camilo Betancourt, Luz Betancourt
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Annamaria Boccia Smith, Ellyn S. Roth, Alice Holly Oshins
Hearing Site: New York, NY
| | Expungement |
| 13-00917 | 03/09/2016 | Claimant(s): Jiu Zhang
Claimant Lawyers(s): Stephen A. Katz
Respondent(s): George Carris, Brockington Securities., John Carris Investments LLC
Respondent Lawyers(s): George Carris, Robert Delvecchio
Arbitrator(s): Evdokia Sofos, Lynne M. Reid-McQueen, Alejandro Miguel Garro
Hearing Site: New York, NY
| | $0 |
| 14-00618 | 03/09/2016 | Claimant(s): Joann Pooton, Thompson Pooton, Joann M. Pooton IRA, Thompson J. Pooton IRA, Thompson J. & Joann M. Pooton Rev Trust
Claimant Lawyers(s): M. Nelson Segel
Respondent(s): Michael Self, First Financial Equity Corporation
Respondent Lawyers(s): Brian J. Palmer
Arbitrator(s): Merton E. Marks, Dee Newell, Brian Pezzillo
Hearing Site: Las Vegas, NV
| | $0 |
| 15-01122 | 03/09/2016 | Claimant(s): Michael Butler
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Lori H. Carena
Hearing Site: New York, NY
| | $0 |
| 13-03659 | 03/08/2016 | Claimant(s): Barbara Klotz, Richard Klotz
Claimant Lawyers(s): Anthony Reguero, M. Ryan DiMaria
Respondent(s): Gary Roney, Jack Hartfelder, Morgan Stanley
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): David J. Anderson, A. Joel Klein, Terry D. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
