| 14-02620 | 08/04/2015 | Claimant(s): Amanda Dollinger, Matthew Dollinger
Claimant Lawyers(s): Marc S. Mayer
Respondent(s): UBS Financial Services Inc., Ryan Lindgren
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Donald M. Thompson
Hearing Site: Chicago, IL
|  | Expungement |
| 14-01970 | 08/04/2015 | Claimant(s): Andrea Madison
Claimant Lawyers(s): Andrea Madison
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Linda I. Thomas, Joseph W. Cheek, James F. Zotter
Hearing Site: Portland, OR
| | $0 |
| 14-02133 | 08/04/2015 | Claimant(s): Deanna Braun, Richard Braun
Claimant Lawyers(s): Jonathan E Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Mark S. Foster, Larry R. Trussell, Michael D. Fitzgerald
Hearing Site: Omaha, NE
| | $43,999 |
| 08-00501 | 08/03/2015 | Claimant(s): John Marshall Hispanic America Fdtn., John Marshall Properties., Palm Coast Collectibles.
Claimant Lawyers(s): John D. Marshall
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian Betz
Arbitrator(s): Howard N. Kahn, Jeffrey Lawrence Sarkin, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
| | $0 |
| 13-03588 | 07/31/2015 | Claimant(s): Georgianna Gimbel, John Gimbel
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Christopher Seebeck, Cynthia Smith, Lawrence Green, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B Rounsville
Arbitrator(s): Monica I. Salis, Monroe Mitchel, Mervyn A. Feinstein
Hearing Site: Boca Raton, FL
| | Expungement |
| 15-00363 | 07/31/2015 | Claimant(s): Lesleigh Root
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $31,757 |
| 13-03690 | 07/30/2015 | Claimant(s): Maria Lopez-Almaguer
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Raymond C. Kerr, Allen M. Kerpan, Richard Merritt Langway
Hearing Site: San Juan, PR
| | Expungement |
| 12-04201 | 07/29/2015 | Claimant(s): Doris Rose, Code 3 Industries., Historical Properties., Kay Administration Service., The Rose Family Trust, The Rose Family Trust # 3, The Rose Family Trust #2
Claimant Lawyers(s): Daniel Carlson, G. Mark Brewer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Helen W. Kinnaird, Evan A. Gould, John Scott Carter
Hearing Site: San Diego, CA
| | Expungement |
| 13-02570 | 07/29/2015 | Claimant(s): Carmella Cummings
Claimant Lawyers(s): Richard B Fosher
Respondent(s): Northstar Financial Partners.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Jeffry M. Bauer, Jacqueline R. Fox, Gary L. Bender
Hearing Site: Detroit, MI
| | Expungement |
| 14-00200 | 07/29/2015 | Claimant(s): Max B. Tharpe Charitable Foundation, The Estate of Max B. Tharpe, Max B. Tharpe Revocable Trust
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): William Holland, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Barth Satuloff, Richard F. Lang, Rosemarie Ann Jannuzzi
Hearing Site: Boca Raton, FL
| | $519,511 |
