| 10-03968 | 08/07/2015 | Claimant(s): Renata Charfoos, Renata J. Charfoos Rev. Living Trust
Claimant Lawyers(s): Christopher D. Pixley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lawrence E. Fenster
Arbitrator(s): Corby A. Kiss, James L. Karpen, Jack L. Somers
Hearing Site: Detroit, MI
|  | Expungement |
| 14-01009 | 08/07/2015 | Claimant(s): Joan Christenson, Joan M. Christenson Revocable Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Paul Schmidt, SII Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kevin D. Hofman, David F. Schmitz, Wayne A. Robinson
Hearing Site: Minneapolis, MN
| | $72,048 |
| 14-01703 | 08/07/2015 | Claimant(s): Betty Fischer, Herbert Fischer
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Daniel Micha, RBC Capital Markets LLC
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Joseph D. Vu
Hearing Site: Milwaukee, WI
| | $300 |
| 15-00188 | 08/07/2015 | Claimant(s): Lawrence Spergel
Claimant Lawyers(s): Lawrence M. Spergel
Respondent(s): Tatyana Andreyeva
Respondent Lawyers(s): Tatyana Andreyeva
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $20,425 |
| 13-03758 | 08/06/2015 | Claimant(s): Alexander Walbridge Rumpf, Nancy Cornell Rumpf, Samuel Thayer Rumpf
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Carter Smith, Jeffrey Catlin, Jeffrey Smith, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Robert H. Baker
Hearing Site: Cleveland, OH
| | Expungement |
| 14-02480 | 08/06/2015 | Claimant(s): Fred Anthony
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Cadaret, Grant & Co..
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Dana R. Krajack, Dana Tait Sandlin, Celeste A. Beron
Hearing Site: Columbia, SC
| | Dismissed by Rule 12206 |
| 14-02501 | 08/06/2015 | Claimant(s): Christopher Godchaux
Claimant Lawyers(s): Christopher Barnett Godchaux
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Toby Cooper
Respondent Lawyers(s): Susan Roxanne Sheehan
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $15,568 |
| 13-02435 | 08/05/2015 | Claimant(s): Jon Deusenberry
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Morris S. Getzels, Mary M. O'Neil, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-01436 | 08/05/2015 | Claimant(s): James Borelli, Kelly Borelli
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Jon Sanchez
Respondent Lawyers(s): Steven F. Bus
Arbitrator(s): Paul E. Dahlman
Hearing Site: Reno, NV
| | $40,000 |
| 14-03864 | 08/05/2015 | Claimant(s): Ethan Bowen
Claimant Lawyers(s): Ethan A. Bowen
Respondent(s): Chase Munoz, Dawnette Quiton, Key Investment Services LLC
Respondent Lawyers(s): Christopher Wells, Dawnette E. Quiton
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | $0 |
