| 14-02772 | 03/01/2016 | Claimant(s): Derek Mangin, Earl Mangin, Heidi Mangin, Custodian for Alicia Mangin, Custodian for Jake McBride, Custodian for Keirsten Mangin, Custodian for Tiffany Mangin
Claimant Lawyers(s): Ryan Cook
Respondent(s): Malcolm Segal
Respondent Lawyers(s): Malcolm Segal
Arbitrator(s):
Hearing Site: Philadelphia, PA
|  | $1,583,300 |
| 12-03313 | 02/29/2016 | Claimant(s): Valley National Bank, N.A.
Claimant Lawyers(s): John G. Rich
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): Louis H. Miron, Sam Antar, Robert J. McDonnell
Hearing Site: Newark, NJ
| | $0 |
| 14-00393 | 02/26/2016 | Claimant(s): Donna Brody
Claimant Lawyers(s): Donna L. Brody
Respondent(s): Legg Mason Wood Walker, Morgan Stanley, Patricia Walsh
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Janet L. Brown, Abigail J. Pessen, Marissa A. Santangelo
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
| 15-00661 | 02/26/2016 | Claimant(s): Robert Flemming and Josephine Flemming
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 14-01143 | 02/26/2016 | Claimant(s): Karen Bunone
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Gerard Simonelli, Cadaret, Grant & Co..
Respondent Lawyers(s): Samuel E. Cohen, Scott D. Stechman
Arbitrator(s): Eugene G. P. Byrne, Nancy Kramer, Andrew Joseph Donovan
Hearing Site: New York, NY
| | $0 |
| 15-01641 | 02/26/2016 | Claimant(s): Howard Hirschhorn & Esther Hirschhorn
Claimant Lawyers(s): Howard Hirschhorn
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Samuel L. Israel
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
| | $0 |
| 15-00193 | 02/25/2016 | Claimant(s): Robert Wagner, Vicki Wagner
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Henry Kulig, FSC Securities Corporation
Respondent Lawyers(s): Craig H. Kuglar
Arbitrator(s): Daniel R. Formeller, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | $70,333 |
| 15-01436 | 02/25/2016 | Claimant(s): Michel Deveix, Michel Deveix Roth IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Ian S. Greig, George W. McKellar, Walter J. Wylie
Hearing Site: Columbia, SC
| | Expungement |
| 14-00872 | 02/25/2016 | Claimant(s): Nora Smith, Estate of Dennis L. Smith, Dennis L. Smith Trust dtd 11/30/07
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Elliott Zachary Seff, Robert B. Hansohn, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03414 | 02/25/2016 | Claimant(s): Stephen Slocum
Claimant Lawyers(s): Stephen J. Slocum
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Herb Schwartz, Dean J. Dietrich, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
