| 14-03498 | 10/01/2015 | Claimant(s): James F. Richards IRA
Claimant Lawyers(s): James F. Richards
Respondent(s): Andrew Zides, T. Rowe Price Investment Services., Daniel Nurkala, Erica Kim, Jeffrey Krawczak, Shawn Reagan
Respondent Lawyers(s): Jonathan C. Caballero
Arbitrator(s): John F. O'Neill
Hearing Site: Birmingham, AL
|  | $7,240 |
| 14-01815 | 09/28/2015 | Claimant(s): Carl Jensen, Sidmar, Washington Park Office Center 13
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Presidential Brokerage.
Respondent Lawyers(s): Stuart N. Bennett
Arbitrator(s): Steven Meyrich, Thomas R. Bromberg, Henry Eric Peitz
Hearing Site: Denver, CO
| | $654,100 |
| 15-00504 | 09/28/2015 | Claimant(s): Kathleen McCue, Kathleen F. McCue o/b/o IRA
Claimant Lawyers(s): Marvin L. Szymkowicz
Respondent(s): Dennis Cambal, Geoffrey Cambal, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
| | $300 |
| 13-01867 | 09/25/2015 | Claimant(s): Larry English
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Fuad Ahmed, Jinesh Brahmbhatt, Success Trade Securities.
Respondent Lawyers(s): Fuad Ahmed, Jinesh Pravin Brahmbhatt
Arbitrator(s): Deanna J. Johnson, Mandel E. Himelstein, Virginia H. Gaburo
Hearing Site: San Diego, CA
| | $270,180 |
| 13-02421 | 09/25/2015 | Claimant(s): Eugen Mersch
Claimant Lawyers(s): Louis J. Maione
Respondent(s): Howard Allen, Allen Partners, Portfolio Advisors Alliance.
Respondent Lawyers(s): Jordan M. Kam
Arbitrator(s): Christina Kallas, Jeffery A. Hamer, Isabeth Ann Gluck
Hearing Site: New York, NY
| | $0 |
| 14-02812 | 09/25/2015 | Claimant(s): Karren Stamper
Claimant Lawyers(s): Martin E. Threet
Respondent(s): Bosc.
Respondent Lawyers(s): Paul DeMuro
Arbitrator(s): Barry H. Barnett
Hearing Site: Albuquerque, NM
| | $0 |
| 14-02337 | 09/24/2015 | Claimant(s): Jay Stein, Jay J. Stein IRA Rollover, Jay J. Stein Retirement Fund dtd 9/1/85
Claimant Lawyers(s): Katrina M. Boice, Ryan K. Bakhtiari
Respondent(s): Northeast Securities., The Benchmark Company.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Robert B. Hansohn, Thomas R. Watkins, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $126,550 |
| 14-02630 | 09/24/2015 | Claimant(s): Gordon Hirsch
Claimant Lawyers(s): Michael D. Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Albuquerque, NM
| | Expungement |
| 15-00352 | 09/24/2015 | Claimant(s): Jeffrey Kozial, Jeffrey Kozial as Personal Rep of Estate, Jeffrey Kozial as Ttee of the Edward W.
Claimant Lawyers(s): Sara Hanley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 14-00383 | 09/22/2015 | Claimant(s): Donna Cramer, John Cramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Terry F. Peppard, Kevin D. Hofman, Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $58,563 |
