| 13-03701 | 10/26/2015 | Claimant(s): Denise Marchese, Denise Marchese TTEE Richard Bachand, Denise Marchese TTEE Jeanne Gallo
Claimant Lawyers(s): Devanshu L. Modi
Respondent(s): Robert Petruski, Morgan Stanley Smith Barney
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Lincoln W. Craighead
Hearing Site: New York, NY
|  | $0 |
| 14-01142 | 10/23/2015 | Claimant(s): Eugene Elliott, Shawn Elliott, Genraza LLC, The Elliott Family Trust DTD 9-17-86
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Arthur T. Berggren, Janice A. Salter, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | $1,188,850 |
| 14-01826 | 10/23/2015 | Claimant(s): Allan Levine
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Biagio A. Civale, Paul S. Biederman, Joseph I. Liebman
Hearing Site: New York, NY
| | Expungement |
| 14-03809 | 10/23/2015 | Claimant(s): Sylvia Keyes, Sylvia Keyes IRA Rollover Account, TTEE
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): David Messaline, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Colette Manoil, Dennis M. Cronin, James R. Collins
Hearing Site: Boston, MA
| | $175,425 |
| 14-01159 | 10/22/2015 | Claimant(s): Roberta Heid
Claimant Lawyers(s): Matthew R. Skolnik
Respondent(s): Jeremy Lambert, Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Marian Smith Glenn, Nickolas F. Monteforte, Jan Elaine Christopher
Hearing Site: Wilmington, DE
| | Expungement |
| 12-03310 | 10/22/2015 | Claimant(s): John Bensman
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Michael Oromaner, Brookville Capital Partners LLC, New Castle Financial Group.
Respondent Lawyers(s): Corporate Office, Gabriel Iezzoni, Custodian, Thomas J. McCabe
Arbitrator(s): James Patrick Graven
Hearing Site: Columbus, OH
| | $29,277 |
| 14-03867 | 10/22/2015 | Claimant(s): Donna Bond, Mel Bond
Claimant Lawyers(s): D. Daxton White
Respondent(s): Berthel, Fisher & Company Financial
Respondent Lawyers(s): Debra Weiss
Arbitrator(s): Jack D. Olson, Alan A. Sachs, Ollie Sam Ackley
Hearing Site: St. Louis, MO
| | $0 |
| 14-01942 | 10/21/2015 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Tom L. Peterson, Arnold M. Marrow, Susan Lauder Stewart
Hearing Site: Boston, MA
| | $0 |
| 14-02679 | 10/20/2015 | Claimant(s): Michael C. Shean, IRA, Suzanne T. Shean, Marcus Wallace or Melinda Wallace
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Christopher Fulco, Edward Zelezen, Pershing LLC, John Ward, Ronald Artzi
Respondent Lawyers(s): Elizabeth F. Edwards
Arbitrator(s): Ron C. Christner, Robert E. Graves, Brian P. Jakes
Hearing Site: Jackson, MS
| | Expungement |
| 15-00250 | 10/20/2015 | Claimant(s): Phyllis Kraus, William Kraus, The CPA Revocable Trust D/T/D 12/12/2006
Claimant Lawyers(s): D. Daxton White
Respondent(s): NFP Securities Inc.
Respondent Lawyers(s): Noah Snyder
Arbitrator(s): David P. Slater, Bruce K. Isenberg, Gary R Librizzi
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
