| 14-00029 | 12/03/2015 | Claimant(s): Irving Nast
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Brian Hagerman, John Matthews, Equities Trading Corporation, Global Arena Capital Corp, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor, Ronald S. Herzog
Arbitrator(s): Edward J. Costello, Alan M. Rosen, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
|  | $0 |
| 14-01241 | 12/03/2015 | Claimant(s): James Price
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Morgan Stanley, Philip Curran
Respondent Lawyers(s): Gregory B. Simon, Melissa M. Muehlfeld
Arbitrator(s): James D. Knotter, Vytas Tarulis, Edward H. Davis
Hearing Site: San Diego, CA
| | $0 |
| 14-03551 | 12/03/2015 | Claimant(s): Kathy Piniewski
Claimant Lawyers(s): Teresa J. Verges
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Courtney M. Rogers-Reid
Arbitrator(s): Stephen P. LaLonde
Hearing Site: Buffalo, NY
| | $80,641 |
| 13-03071 | 12/02/2015 | Claimant(s): Genesis Venture Capital Corporation, S.E.A. Land Development
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): TD Ameritrade., Thinkorswim.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | $0 |
| 14-01455 | 12/02/2015 | Claimant(s): William Suhoski
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Salvatore Gioe
Respondent Lawyers(s): Salvatore Gioe
Arbitrator(s): James J. Puhala
Hearing Site: Pittsburgh, PA
| | $9,107 |
| 14-00481 | 12/01/2015 | Claimant(s): Ernest Hase, Nancy Hase
Claimant Lawyers(s): Adam M. Green
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Kathleen P. Helbig-Hannan, Michael S. Berman, Stuart C. Gaul
Hearing Site: Columbus, OH
| | Expungement |
| 14-00588 | 12/01/2015 | Claimant(s): Janette Adams
Claimant Lawyers(s): Stephen Guice
Respondent(s): Jeffrey Adams, Philip Patragnoni, PNC Investments
Respondent Lawyers(s): Brian A. Carlis, Jeffrey Adams
Arbitrator(s): Carol H. Gold, Catherine S. Kopley, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $0 |
| 14-03286 | 12/01/2015 | Claimant(s): Heather Law, Kenneth Law
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | $0 |
| 14-03860 | 11/27/2015 | Claimant(s): Shirley Peltier
Claimant Lawyers(s): Stacy Joel Safion
Respondent(s): James Roberts, Cullum & Burks Securities.
Respondent Lawyers(s): James Michael Roberts, Steve L. Burks
Arbitrator(s): Ronald L. Cameron, Anita Rae Shapiro, George Frederick Garris
Hearing Site: Los Angeles, CA
| | $275,987 |
| 13-02320 | 11/25/2015 | Claimant(s): Patrick Boyle
Claimant Lawyers(s): Patrick W. Boyle
Respondent(s): David Matthews
Respondent Lawyers(s): David W. Matthews
Arbitrator(s): Justine Fischer, James E. Bartels, John P. Hughie
Hearing Site: Portland, OR
| | Dismissed by Rule 12206 |
