| 14-00235 | 11/13/2015 | Claimant(s): Malgorzata Petersen, M & R Petersen Family Limited Partnershi
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Mark Harwanko, Ameriprise Financial Services Inc
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Robert E. Anderson, Leslie Ruth Nydick, Sirena Terr
Hearing Site: Newark, NJ
|  | Expungement |
| 12-02925 | 11/13/2015 | Claimant(s): Lettita Bollon, Richard Bollon, NFS/FMTC Rollover IRA-FBO Richard J. Bol, Richard J. Bollon DDS PC, Richard J. Bollon TTEE, Richard J. Bollon PSP
Claimant Lawyers(s): James G. Marsh
Respondent(s): Stanley Brooks, Brookstreet Securities Corporation, Troy Gagliardi
Respondent Lawyers(s): Sam Silverstein, Troy L. Gagliardi
Arbitrator(s): Richard W. Cutler, Anita Sippy, Gladys Mond
Hearing Site: New York, NY
| | $0 |
| 13-01369 | 11/13/2015 | Claimant(s): William Call
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Samuel B. Garber, Rita J. Jacyna Curley, Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
| 14-02168 | 11/13/2015 | Claimant(s): Global eBusiness Services
Claimant Lawyers(s): Syed Nazim Ali
Respondent(s): Interactive Brokers LLC.
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): David J. Anderson, Edward A. Trabin, W. Alex King
Hearing Site: Los Angeles, CA
| | $0 |
| 14-00299 | 11/12/2015 | Claimant(s): Peter Doyle, Peter Doyle IRA
Claimant Lawyers(s): Ruthann Granito
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael Gaico
Arbitrator(s): James J. Fishman, Robert E. Anderson, Nino Armienti
Hearing Site: New York, NY
| | Expungement |
| 14-02264 | 11/12/2015 | Claimant(s): JSF Inv L.P.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): John P. Wilson, George King, Vivian L. Kral
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 13-02607 | 11/12/2015 | Claimant(s): Chris Saporito
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Gordon M. Wase, Fred M. Fleisher, Donald Saunders Litman
Hearing Site: Philadelphia, PA
| | $0 |
| 13-03654 | 11/11/2015 | Claimant(s): Matthew Wood
Claimant Lawyers(s): Steven Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Marian Cover Dockery, Yvette L. Nurse, Brandt Leonard Ross
Hearing Site: Atlanta, GA
| | Expungement |
| 13-03010 | 11/10/2015 | Claimant(s): David Crick
Claimant Lawyers(s): H. Naill Falls
Respondent(s): Anastasios Belesis, John Thomas Financial
Respondent Lawyers(s): Anthony C. Varbero, Maria Cummings
Arbitrator(s): Lita S Menkin, Arthur L. Tepper, Leigh Ann Roberts
Hearing Site: Nashville, TN
| | $2,417,500 |
| 15-00979 | 11/10/2015 | Claimant(s): Joanne Clothier
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): National Securities Corporation, William Madara
Respondent Lawyers(s): Jay Israel, Michael P. Gilmore
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | $47,550 |
