| 14-00582 | 10/02/2015 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Scott S. Balber
Respondent(s): Anthony Moschetto, A & R Trading Group LLC
Respondent Lawyers(s): Randy Zelin
Arbitrator(s): Bernard A. Friedman, Cynthia A. DiMarco, Peter C. Salerno
Hearing Site: New York, NY
|  | $0 |
| 14-02246 | 10/02/2015 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Ian H. Hummel
Respondent(s): Steven Liebman, SML Capital Group LLC
Respondent Lawyers(s): Steven Liebman
Arbitrator(s): Amy Y. Moy, Ronald Harris Kisner, Edward F. Zagajeski
Hearing Site: New York, NY
| | $0 |
| 13-02666 | 10/02/2015 | Claimant(s): Jere Hansard
Claimant Lawyers(s): Robert J. Scafuri
Respondent(s): Oppenheimer & Co.., Terance Bertrand
Respondent Lawyers(s): Diana Sur
Arbitrator(s): Edward M. Olson, Seth H. Barsky, Wayne Carl Hallquist
Hearing Site: Detroit, MI
| | Expungement |
| 13-03766 | 10/02/2015 | Claimant(s): Ann Cole
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Sandra Gale Behrle, Frank E. Wolf, William M Peters
Hearing Site: Montpelier, VT
| | Expungement |
| 14-00610 | 10/02/2015 | Claimant(s): Glissette Colon, Raul Aranguren Riesgo
Claimant Lawyers(s): Alfonso Fernandez
Respondent(s): Andres Lewowicz, Juan Herrans, Merrill Lynch Pierce Fenner & Smith Inc., Richard Reiss
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Elena G. Rodriguez, Jonathan H. Parker, Reinaldo Royo
Hearing Site: San Juan, PR
| | Expungement |
| 14-02206 | 10/02/2015 | Claimant(s): Andrew Alexander, Plantations at Haywood 5, TIC Hunters Chase 18
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Sean M. Golden
Arbitrator(s): Robert S. Zuckerman, Donita M. King, Overman Randolph Rollins
Hearing Site: Norfolk, VA
| | Dismissed by Rule 12206 |
| 15-00033 | 10/02/2015 | Claimant(s): Antonia Winter
Claimant Lawyers(s): J. Desmond Kramer
Respondent(s): R.F. Lafferty & Co..
Respondent Lawyers(s): Richard L. Herzfeld
Arbitrator(s): Robert Elliot Harrison
Hearing Site: New York, NY
| | $0 |
| 15-01088 | 10/02/2015 | Claimant(s): Sheila Creghin
Claimant Lawyers(s): James H. West
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Michael Nathanson
Hearing Site: Chicago, IL
| | $32,800 |
| 13-03472 | 10/01/2015 | Claimant(s): George Moore
Claimant Lawyers(s): Steven Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Arnold I. Loew, Victoria G.A. Willingham, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-03271 | 10/01/2015 | Claimant(s): Pearl Creath
Claimant Lawyers(s): Pearl Creath
Respondent(s): Evaughn Branham-Ferrero, J.P. Morgan Securities, Keith Parks
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $0 |
