| 14-01354 | 08/26/2015 | Claimant(s): Randall Sawicki
Claimant Lawyers(s): Stephen L. Morgan
Respondent(s): Roric Griffith
Respondent Lawyers(s): Bryan G. Shumann
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
|  | $0 |
| 12-00013 | 08/25/2015 | Claimant(s): S & S Farms.
Claimant Lawyers(s): Richard Sacks
Respondent(s): Philip Pizelo, Shanon Ford, Toni Sutherland
Respondent Lawyers(s): David Wakukawa, Philip A. Pizelo, Shanon L. Ford
Arbitrator(s): James N. D'Orso, Thomas D. Reese, Edward J. Harkins
Hearing Site: San Francisco, CA
| | Expungement |
| 13-03347 | 08/25/2015 | Claimant(s): Michael Valenti
Claimant Lawyers(s): Michael Hill
Respondent(s): Legend Securities.
Respondent Lawyers(s): David Jarvis
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | Stipulated Award |
| 14-01695 | 08/25/2015 | Claimant(s): Catherine Block
Claimant Lawyers(s): Thomas Frost
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Mark R. Lee, Thomas J. Doherty, Randy R. Maher
Hearing Site: San Diego, CA
| | $0 |
| 14-03604 | 08/25/2015 | Claimant(s): Mitchell Krevat, Randy Krevat
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Signature Securities Group Corporation
Respondent Lawyers(s): Vincent P. Pozzuto
Arbitrator(s): Jeffrey G. Sommers, Peter A. Seibel, Salvatore J. Bate
Hearing Site: New York, NY
| | $0 |
| 14-02240 | 08/24/2015 | Claimant(s): Jeanne Hebert
Claimant Lawyers(s): Jeanne H. Hebert
Respondent(s): Wells Fargo Advisors, Lindsey Barlow
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Steve R. Neuman, Kathy R. Holler, Michele N. O'Brien
Hearing Site: Houston, TX
| | Expungement |
| 14-03047 | 08/24/2015 | Claimant(s): Christopher Monks
Claimant Lawyers(s): Christopher E. Monks
Respondent(s): Henry Zakharian, E*Trade Securities LLC, Justin Hunter
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $0 |
| 13-00850 | 08/21/2015 | Claimant(s): Elizabeth Simpson, Elizabeth Winkelmann, Kimberly Odom, Nancy Clark, Billy P. Simpson, IRA, Charles W. Randall SEP IRA, Cynthia Winkelmann, Elizabeth H. Simpson, Richard B. Durgin, Rita Randall, Billy Simpson and Elizabeth Simpson
Claimant Lawyers(s): Joseph C. Peiffer
Respondent(s): Annette Dubose, Christa Garrett, Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Stephen H. Biller, Angelia J. Tolbert, Barbara Carraway Dogan
Hearing Site: Jackson, MS
| | Expungement |
| 14-01189 | 08/21/2015 | Claimant(s): Miriam Albert, Miriam Albert IRA, Richard and Miriam Albert Reocable Trust
Claimant Lawyers(s): David W. Miller
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig Bockman
Arbitrator(s): Philip H. Marmurowski, John G. Manley, Brian Pezzillo
Hearing Site: Las Vegas, NV
| | Expungement |
| 14-01718 | 08/21/2015 | Claimant(s): George Gartner
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Kevin D. Hofman
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
