| 13-03250 | 11/05/2015 | Claimant(s): Alexandria Nicolai, Jeffrey Nicolai, Jennifer Tiscornia-Steere, Katherine Nicolai, Mary Tiscornia, Michael Nicolai, Nicholas Toussaint, The San Francisco Gravel Co. Inc. Profit, The Nicholas & Susan Toussaint Trust
Claimant Lawyers(s): Jeffrey M. Nicolai
Respondent(s): Wedbush Securities Inc., Kevin Scarpelli
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Donald S. Green, Norman S. Nayfach, Robert James Wilkie
Hearing Site: San Francisco, CA
|  | $813,475 |
| 14-01298 | 11/05/2015 | Claimant(s): Fredrik Gabriel
Claimant Lawyers(s): Edward R. Moor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Michael S. Matek, Lee H. Goodman, Charles Orlove
Hearing Site: Chicago, IL
| | $0 |
| 14-03854 | 11/05/2015 | Claimant(s): Arthur Wickett IRA, Arthur & Louise Wickett
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Patrick White, Steven Wanek, Blackbook Capital LLC
Respondent Lawyers(s): Charles M. O'Rourke, Franklin I. Ogele, Patrick Justin White
Arbitrator(s): John J. Mager
Hearing Site: Augusta, ME
| | $0 |
| 14-01258 | 11/04/2015 | Claimant(s): Cyrus Tabaz
Claimant Lawyers(s): Geoffrey G Melkonian
Respondent(s): Bradley Chier, J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Howard A. Emirhanian, Mark S. Priver, Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03103 | 11/04/2015 | Claimant(s): Chicago Patrolmen's Federal Credit Union
Claimant Lawyers(s): Mark H. Horwitch
Respondent(s): Cambridge Investment Research., Retirement Plan Advisors Group., Retirement Plan Advisors., Retirement Plan Advisors
Respondent Lawyers(s): Scott Porterfield
Arbitrator(s): Kenneth N. Adamson, Michael S. Jordan, Stephen Skardon
Hearing Site: Chicago, IL
| | $170,600 |
| 10-05704 | 11/03/2015 | Claimant(s): Rajyalakshmi Ramachandran, Viswanathan Ramachandran
Claimant Lawyers(s): Viswanathan Ramachandran
Respondent(s): Judy Wee, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kiki L. Taylor
Arbitrator(s): James M. Baumann, Christine Costigan, Leona Beane
Hearing Site: New York, NY
| | $0 |
| 15-00764 | 11/03/2015 | Claimant(s): Monetary Management Corporation
Claimant Lawyers(s): Stevenson Browne
Respondent(s): Bats Trading.
Respondent Lawyers(s): Bryan Upp
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | $0 |
| 13-02833 | 11/02/2015 | Claimant(s): Felyce Thomas
Claimant Lawyers(s): Herbert Wiggins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03350 | 11/02/2015 | Claimant(s): Patricia German, Paticia German IRA
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Jacob Aschkenasy, Michael L. Moran, Patricia A. DeWitt
Hearing Site: New York, NY
| | Expungement |
| 15-00311 | 11/02/2015 | Claimant(s): Margaret Lucas
Claimant Lawyers(s): John R. Bobay
Respondent(s): Manning & Napier Investor Services.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Helen Marinak Blohm, Debra Brothers Self, Philip Ho
Hearing Site: San Francisco, CA
| | $0 |
