| 14-02530 | 06/29/2015 | Claimant(s): Judith M. Leicht IRA, Judith M. Leicht Living Trust
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Marc Schneider, Tiaa-Cref Individual & Institutional Srv
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Michael L. Lyons, Frederick Michael Switzer, Alan A. Sachs
Hearing Site: St. Louis, MO
|  | Expungement |
| 13-03751 | 06/29/2015 | Claimant(s): Jeffrey Teets
Claimant Lawyers(s): Paul A. Conant
Respondent(s): Thaxton Peterson
Respondent Lawyers(s): Robert D. Mitchell
Arbitrator(s): Robert S. McConnell, Walter Steven Schwartz, David F. Sargent
Hearing Site: Phoenix, AZ
| | $0 |
| 10-04744 | 06/26/2015 | Claimant(s): Ontonimo (OMO) Limited
Claimant Lawyers(s): Barry R. Lax
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Harry Frischer
Arbitrator(s): Peter A. Goldman, Ellyn S. Roth, Albert L. Akerman
Hearing Site: New York, NY
| | $16,600,000 |
| 14-02369 | 06/26/2015 | Claimant(s): William Paul, IRA
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Sam Antar, Roger B. Jacobs, Steven C. Kasarda
Hearing Site: New York, NY
| | Expungement |
| 14-02860 | 06/26/2015 | Claimant(s): Amiram Barkai, Ariel Barkai, Eileen Barkai
Claimant Lawyers(s): Christopher J. Major
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Carolyn A. Mann, Leah R. Marks, Bernard Lieberman
Hearing Site: New York, NY
| | $605,000 |
| 13-03530 | 06/25/2015 | Claimant(s): Oscar Zuniga
Claimant Lawyers(s): Harold Vicente-Colon
Respondent(s): Carlos Ubinas Taylor, Doel Garciaromero, Jose Crescioni, UBS Financial Services Inc., UBS Financial Services Inc of PR
Respondent Lawyers(s): Carlos A. Valldejuly-Sastre, Joelle Simms, Leslie Y. Flores-Rodriguez, Mauricio O. Muniz-Luciano, Roberto C. Quinones
Arbitrator(s): Daniel H. Yaffe, Barry David Thorpe, Harry G. Mason
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-00269 | 06/25/2015 | Claimant(s): Cathryn Baird, Robert Baird
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Dale Hall, John Gessford, Capwest Securities., Crucible Capital Group.
Respondent Lawyers(s): Charles J. Moore, Dale K. Hall, Dale Keith Hall, Kelly F. Ryan
Arbitrator(s): Richard J. Stall, Steven A. Wawra, Jeanne E. Irving
Hearing Site: Los Angeles, CA
| | $107,910 |
| 14-01084 | 06/25/2015 | Claimant(s): Louise Blocker
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Raymond Nardo, Alfreida B. Kenny, John Michael Richardson
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 14-02228 | 06/24/2015 | Claimant(s): Rocco Donofrio's IRA, Rocco Donofrio and Nanette Donofrio
Claimant Lawyers(s): Rocco Donofrio
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $225 |
| 14-03278 | 06/24/2015 | Claimant(s): Marcel Rosen
Claimant Lawyers(s): Marcel Rosen
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | $0 |
