| 12-01405 | 09/15/2015 | Claimant(s): Koko Flowers, Thomas E. Flowers Charitable Trust, Koko Fujita Charitable Trust dd 12/31/96, Thomas E. Flowers & Koko Fujita Trust, Thomas E. Flowers Trust dd 9/29/1999
Claimant Lawyers(s): Ann McFarland Draper
Respondent(s): David Gillimore, U.S. Bancorp Investments.
Respondent Lawyers(s): Abe Lampart, Elizabeth M. Hill
Arbitrator(s): Kathryn J. Toronto, Robert M. Smith, Sterling N. Frost
Hearing Site: San Francisco, CA
|  | $0 |
| 14-00232 | 09/14/2015 | Claimant(s): Simon Haberman, 251 CPW Housing, The Simon V. Haberman Revocable Trust
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Thomas Carroll
Respondent Lawyers(s): Thomas Edward Carroll
Arbitrator(s): Sandor I. Rabkin, Frederick J. Myers, W. Wright Danenbarger
Hearing Site: Manchester, NH
| | Expungement |
| 14-00657 | 09/11/2015 | Claimant(s): Said Mudafort Farah
Claimant Lawyers(s): Robert Pearce
Respondent(s): UBS Financial Services Inc Of P R
Respondent Lawyers(s): Wes Holston
Arbitrator(s): James W. Geiger, John D. Mattingly
Hearing Site: San Juan, PR
| | $600,250 |
| 14-01186 | 09/11/2015 | Claimant(s): Charles Winter, Jennifer Winter
Claimant Lawyers(s): Courtney M. Yeager
Respondent(s): Victor Bull, Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Frank C. Fogl, Richard S. Hines, Gary Lee Ainley
Hearing Site: Cleveland, OH
| | $109,590 |
| 14-01306 | 09/11/2015 | Claimant(s): Jeremiah Lang, Lisa Lang
Claimant Lawyers(s): Chad M. Kohler
Respondent(s): Victor Bull, Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Frank C. Fogl, Ellen Holland Keller, Eileen B. Vernon
Hearing Site: Cleveland, OH
| | $94,741 |
| 14-02197 | 09/11/2015 | Claimant(s): Ryan Williams, Sharon Johnson
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Fuad Ahmed, Jinesh Brahmbhatt, Success Trade Securities.
Respondent Lawyers(s): Fuad Ahmed, Jinesh P. Brahmbhatt
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Washington, DC
| | $400,300 |
| 15-01971 | 09/10/2015 | Claimant(s): Francisco Ramis Galdo, Ines Rivero de Ramis, Conjugal Partnership Constituted by Them
Claimant Lawyers(s): Francisco Pujol
Respondent(s): Carlos Freire, Carlos Ubinas Taylor, Doel Garciaromero
Respondent Lawyers(s): Ana M. Rodriguez-Rivera, Heriberto Lopez, Mauricio O. Muniz-Luciano
Arbitrator(s): Steven Gerard Goerke, Barth Satuloff, Howard B. Scherer
Hearing Site: San Juan, PR
| | Expungement |
| 15-00413 | 09/10/2015 | Claimant(s): Jack Kagan
Claimant Lawyers(s): Jack J. Kagan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cassie D. Stroud
Arbitrator(s): Louis P. Wagman
Hearing Site: New York, NY
| | $38 |
| 13-03258 | 09/09/2015 | Claimant(s): Arthur Keith Burch and Lea Burch, JTWROS
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): Gerald L. Fingerhut, John Russell Barlow, David Lawrence Rowe
Hearing Site: Raleigh, NC
| | Expungement |
| 14-00309 | 09/09/2015 | Claimant(s): Laurie Andrews, Robert Andrews, Griffin Capital (Westmont) Investor 21,
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Kevin Shields, Markel Petty, Michael Lynch, Raymond Stovall, Direct Capital Securities., Griffin Capital Securities.
Respondent Lawyers(s): Kenyon Harbison, Markel Dashiell Petty, Michael Van Lynch, Raymond P. Stovall
Arbitrator(s): Richard J. Stall, Peter J Cohen, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | $245,200 |
