| 14-01597 | 10/19/2015 | Claimant(s): Sharon Krieger
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Michael Fein, Commonwealth Financial Network
Respondent Lawyers(s): James A. Johnson
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
|  | Expungement |
| 13-03133 | 10/19/2015 | Claimant(s): Nico Phillips
Claimant Lawyers(s): Nico Phillips
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): William G. Binckes, Robert L. Nisely, Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
| 06-01354 | 10/16/2015 | Claimant(s): Adele Simonds
Claimant Lawyers(s): Adele Simonds
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Jacqueline Marie Pierre, Howard N. Gorney, Steven S. Manos
Hearing Site: Boston, MA
| | $0 |
| 14-03804 | 10/16/2015 | Claimant(s): The Jerome L. Glazer Rev Trust UAD 06/09
Claimant Lawyers(s): Jerome L. Glazer
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Peter M. Chena
Arbitrator(s): Patricia G. Parthe, Steven M. Guttell, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | $300 |
| 13-01142 | 10/15/2015 | Claimant(s): Board of Trustees of the Iron Workers Lo
Claimant Lawyers(s): William P. Callinan
Respondent(s): Citigroup Global Markets., Morgan Stanley Smith Barney, Smith Barney.
Respondent Lawyers(s): Rawn Howard Reinhard
Arbitrator(s): Michael Nathanson, Susan L. Walker, Seymour Andrew Newman
Hearing Site: Chicago, IL
| | Expungement |
| 13-01147 | 10/15/2015 | Claimant(s): Am Le, Bryan Truitt, Darlene Prince, Franz Wagner, Gary Prince, Mark Le, Oranelle Holsch, Ron Dewalt, Ronald Householder, Ronald Miller, Shari Truitt, Thu Le, Annemarie Wagner through Franz Wagner
Claimant Lawyers(s): Chris Bebel
Respondent(s): Edward Basham, Jaime Coronado
Respondent Lawyers(s): Edward Dee Basham, Jaime Xavier Coronado
Arbitrator(s): Sherry R. Wetsch, Andrea Joan Douglas, Amy Lynn Mitchell
Hearing Site: Houston, TX
| | $143,234 |
| 14-02745 | 10/15/2015 | Claimant(s): Ida Mae Shawn, Julie Fowler
Claimant Lawyers(s): Kevin Edmundson
Respondent(s): Cecil Ross, Raymond James Financial Services.
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Harry J Saginaw, Keith L. Saunders, Jill M. Zacha
Hearing Site: Dallas, TX
| | $100,000 |
| 14-02344 | 10/14/2015 | Claimant(s): Anthony J. Gimelli Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | Expungement |
| 14-02428 | 10/14/2015 | Claimant(s): Donald Young, Mary Young
Claimant Lawyers(s): James P. Lucking
Respondent(s): Christos Kalatoudis
Respondent Lawyers(s): Christos A. Kalatoudis
Arbitrator(s): Wesley C. Wilson, Robert S. Zuckerman, Shelley Simons Korch
Hearing Site: Norfolk, VA
| | $177,409 |
| 14-01003 | 10/13/2015 | Claimant(s): John Mitsinikos, CKJ Investment Co. Limited Partnership
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): National Securities Corporation, VFinance Investments.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Barth Satuloff, Don R. Harris, Marvin S. Lava
Hearing Site: Boca Raton, FL
| | Expungement |
