| 13-01981 | 07/21/2015 | Claimant(s): David Turza, Erin Turza as custodian for Lauren Turza, Erin Turza as custodian for Samantha Tur
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors, UBS Financial Services Inc., Richard Ceffalio
Respondent Lawyers(s): Angela A. Turiano, Michael Naccarato, Stephany D. McLaughlin
Arbitrator(s): Jerome F. Crotty, Lynn Hirschfeld Brahin, Raymond P. Buschmann
Hearing Site: Chicago, IL
|  | Expungement |
| 15-00126 | 07/21/2015 | Claimant(s): Cameron Knight
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Robert Persante
Arbitrator(s): Ian S. Greig
Hearing Site: Tampa, FL
| | $15,425 |
| 14-02075 | 07/17/2015 | Claimant(s): Carole Smith, Michael Smith, NNN Parkway Corporate Plaza 10
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): John Notman, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): John Shaw Notman, Nicole Lomibao
Arbitrator(s): William Ziering, Carol Ann Jensen, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 13-03427 | 07/17/2015 | Claimant(s): DeVonna Murrin, John Murrin
Claimant Lawyers(s): J. Owen Murrin, Joshua H. Sisam
Respondent(s): Steven Olasky, Newcomb And Company
Respondent Lawyers(s): Frederick W. Newcomb, Patrick R. Mahoney
Arbitrator(s): Michael D. Harrison, Kirtley M. Thiesmeyer, W. Scott Bowersock
Hearing Site: Los Angeles, CA
| | $0 |
| 14-01059 | 07/17/2015 | Claimant(s): Sharon Graham Bingham 2007 Trust
Claimant Lawyers(s): Rick J Wathen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): James A. Bishop, Linda I. Thomas, Kenneth James Pedersen
Hearing Site: Seattle, WA
| | $0 |
| 14-03008 | 07/17/2015 | Claimant(s): Erin Tessman, Harold Tessman
Claimant Lawyers(s): T. John Kirk
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): J. Maxwell Williams, Carolyn L. Witherspoon, Joan M. Esserman
Hearing Site: Little Rock, AR
| | $0 |
| 10-03244 | 07/16/2015 | Claimant(s): Michael Hirsch, Robyn Hirsch, Hirsch, LLP
Claimant Lawyers(s): Mark D. Schwartz
Respondent(s): Securities America., Marc Scudillo
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): Elliot B. Platt, Edward Blumstein, Glenn J. Hansen
Hearing Site: Philadelphia, PA
| | $552,693 |
| 12-02242 | 07/16/2015 | Claimant(s): Robert Teel, Robert Charles LLC, Robert Charles & Co., L.P., Robert Charles Class A, Robert Charles L.P., Calvin Brown Memorial Trust
Claimant Lawyers(s): Leslie Wybiral, Louis F. Burke
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, Paul J. Schumacher
Arbitrator(s): Helen W. Kinnaird, Gene S. Evenskaas, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | $327,000 |
| 13-02950 | 07/16/2015 | Claimant(s): The Polk Family 2000 Descendants Trust
Claimant Lawyers(s): Jerald L. Moss
Respondent(s): Stifel, Nicolaus & Co.., Kenneth Reeves
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Jason C. Blackford
Hearing Site: Cleveland, OH
| | $143,470 |
| 14-00214 | 07/16/2015 | Claimant(s): Guillermo Betancourt, Rolando Lopez Betancourt
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Heidi L. Rodriguez Benitez
Arbitrator(s): Andrea U. Calve, Maria Aguilar Icaza, Hilton Wiener
Hearing Site: San Juan, PR
| | Expungement |
