| 14-00462 | 12/11/2015 | Claimant(s): Estate of Stanley Stein, Tracy Stein IRA, Laura Weiss Trust, Tracy Stein, PACE, Trust u/w Bonnie R. Stein
Claimant Lawyers(s): Gary Menzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Susan C. Lushing, Linda J. Baer, Lawrence H. Teich
Hearing Site: New York, NY
|  | $0 |
| 15-01406 | 12/11/2015 | Claimant(s): Kathleen Rock
Claimant Lawyers(s): Kathleen A. Rock
Respondent(s): Next Financial Group.
Respondent Lawyers(s): Lisa Serra
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | $300 |
| 14-01271 | 12/10/2015 | Claimant(s): Lee Riggins, M.D., Lee Shefton Riggins, MD, Trustee, et al
Claimant Lawyers(s): Samuel M. Hill
Respondent(s): Joshua Rudder, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Steven P. Gregory, Clarence H. Hampton, Rachel Kay Russell
Hearing Site: Birmingham, AL
| | $0 |
| 14-02759 | 12/09/2015 | Claimant(s): Charles Avery
Claimant Lawyers(s): Charles G. Avery
Respondent(s): Wells Fargo Advisors, Paolo Bagnato
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $225 |
| 14-03685 | 12/08/2015 | Claimant(s): Thomas Newgard
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Linda Romero, Ron Romero
Respondent Lawyers(s): Linda Romero, Ron Romero
Arbitrator(s): John E. Ohashi
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-03705 | 12/08/2015 | Claimant(s): Genevieve Lenehan
Claimant Lawyers(s): Robert Jutras
Respondent(s): Justin Amaral, Morgan Stanley
Respondent Lawyers(s): Amy McCallen, William Hohauser
Arbitrator(s): John A. Morin, Robert J. Ambrogi, Melinda S. Milberg
Hearing Site: Boston, MA
| | $1,058,600 |
| 14-03709 | 12/08/2015 | Claimant(s): Carolyn McCool, Joshua Nehring
Claimant Lawyers(s): William R. Fishman
Respondent(s): Stifel, Nicolaus & Co.., Duane Smith
Respondent Lawyers(s): Duane Ariel Smith, James C. Browning
Arbitrator(s): James Patrick Beck, Ronald G. Guida, Bruce J. Pederson
Hearing Site: Denver, CO
| | Expungement |
| 15-00853 | 12/08/2015 | Claimant(s): Dontae Satchel
Claimant Lawyers(s): Dontae Levar Satchel
Respondent(s): Franklin Templeton Financial Services Co
Respondent Lawyers(s): Christine M. Debevec
Arbitrator(s): Robert N. Leitch, Samuel C. Johnson, Daniel T. Hull
Hearing Site: Birmingham, AL
| | $0 |
| 15-00174 | 12/07/2015 | Claimant(s): Larry Stawinski
Claimant Lawyers(s): Larry Donald Stawinski
Respondent(s): Emily Destrampe, Richard Hargis
Respondent Lawyers(s): Courtney A. Clark
Arbitrator(s): Edward A. Grupp
Hearing Site: Cleveland, OH
| | $0 |
| 14-03684 | 12/03/2015 | Claimant(s): Michael Saporito, Wanda Saporito, Saporito Trust DTD 12/20/2000
Claimant Lawyers(s): David Liebrader
Respondent(s): Gregory Townes
Respondent Lawyers(s): Gregory Alan Townes
Arbitrator(s): Robert Rosen
Hearing Site: Las Vegas, NV
| | $136,200 |
