| 15-00060 | 01/15/2016 | Claimant(s): Sharon Boyd
Claimant Lawyers(s): Sharon K. Boyd
Respondent(s): Morgan Stanley DW Inc., Todd Leake
Respondent Lawyers(s): Christine A. Kendrick, Jeffrey I. Nicodemus
Arbitrator(s): Ann Blaess Kimball, Lewis W. Pollok, C. Sumpter Logan
Hearing Site: Dallas, TX
|  | $0 |
| 15-00806 | 01/15/2016 | Claimant(s): David Kabel, Julie Kabel
Claimant Lawyers(s): Julie Kabel
Respondent(s): Helen Wathen, Michael Armondo, Merrill Lynch Pierce Fenner & Smith Inc., Travis Taylor
Respondent Lawyers(s): Roxanne Sheehan
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 15-00053 | 01/14/2016 | Claimant(s): Ronald Farhi
Claimant Lawyers(s): Ronald Farhi
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cleveland, OH
| | $0 |
| 14-03671 | 01/12/2016 | Claimant(s): Judith Sisneros, Judith Sisneros IRA, Judith Sisneros Roth IRA
Claimant Lawyers(s): Brynn Anne Gruenberg, Jeremy Scott Hyndman
Respondent(s): Christopher Vanstelle, Steelpoint Securities
Respondent Lawyers(s): Christopher Van Stelle
Arbitrator(s): Benjamin F. Breslauer, Valerie Lewis, Randall William Clow
Hearing Site: Los Angeles, CA
| | $100,000 |
| 14-00302 | 01/11/2016 | Claimant(s): Carlos Zarate
Claimant Lawyers(s): George W. Price
Respondent(s): Morgan Stanley, Michael Saidi
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): B. John Dill, James R. Collins, Mary E. Bassett
Hearing Site: Boston, MA
| | Expungement |
| 14-02873 | 01/11/2016 | Claimant(s): Arts and Humanities Foundation
Claimant Lawyers(s): John A. Umhoefer
Respondent(s): Daniel Steffes, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Peter N. Thompson, Phillip I. Finkelstein, Michael A. DePompolo
Hearing Site: Minneapolis, MN
| | $0 |
| 15-01421 | 01/11/2016 | Claimant(s): Vera Bensimhon
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Abraham Bensimhon, Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Adam J. Gana, Ronald Heineman
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | $44,317 |
| 12-00220 | 01/08/2016 | Claimant(s): Eugene Romaska, Pearl Romaska, The SEP IRA FBO Eugene J. Romaska, Eugene J. Romaska, Controlling Joint Ten
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Hemant Singh, Financial Network Investment Corporation
Respondent Lawyers(s): Matthew Tracy, Philip L. Guarino
Arbitrator(s): Peter A. Goldman, Oliver Wayne Williams, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | Expungement |
| 14-03236 | 01/08/2016 | Claimant(s): Michelle Brown
Claimant Lawyers(s): Howard Wallach
Respondent(s): Cary Stevens, Thomas Salvati, Stevens Investments, The Salvati Insurance Group.
Respondent Lawyers(s): Carey C. Stevensorate Office, David L. Mazur
Arbitrator(s):
Hearing Site: Detroit, MI
| | $256,000 |
| 13-02594 | 01/08/2016 | Claimant(s): Michelle Brown f/k/a Michelle Barksdale
Claimant Lawyers(s): Howard I. Wallach
Respondent(s): Carey Stevens, Thomas Salvati, Interactive Brokers, Stevens Investments, The Salvati Insurance Group.
Respondent Lawyers(s): Carey C. Stevensorate Office, David L. Mazur, John J. Nielands
Arbitrator(s): Barbara A. Johannessen, Martin I. Reisig, Edward William Rich
Hearing Site: Detroit, MI
| | $0 |
