| 12-02706 | 06/18/2015 | Claimant(s): Juan Santiago Gonzalez
Claimant Lawyers(s): Francisco Pujol
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc of PR
Respondent Lawyers(s): Peter G. Neiman, Roberto C. Quinones-Rivera
Arbitrator(s): Bernard A. Becker, Monroe Mitchel, Todd M. Saunders
Hearing Site: San Juan, PR
|  | $0 |
| 12-03796 | 06/18/2015 | Claimant(s): Mary Mahoney, James & Delores Caggiano
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Tom L. Peterson, William R Harding, Gene M. Bauer
Hearing Site: Boston, MA
| | $0 |
| 13-01524 | 06/17/2015 | Claimant(s): Edmund Blickle
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Caryl S. Bernstein, Edward J. Gutman, Jane Kwok Ping Tam
Hearing Site: Baltimore, MD
| | Expungement |
| 13-03542 | 06/16/2015 | Claimant(s): Steve Hawley and Susan M. Hawley
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Douglas J. Nesbit, Jeffrey A. Schuh, Grant D. Sanders
Hearing Site: Minneapolis, MN
| | Expungement |
| 14-00774 | 06/15/2015 | Claimant(s): Jerry Dean, Jerry Dean IRA, Roth IRA and SEP IRA
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Maria Cummings
Arbitrator(s): Mollie Wagner Neal, Sanford S. Finder, Harvey Russell Preston
Hearing Site: Columbia, SC
| | $122,000 |
| 13-02854 | 06/15/2015 | Claimant(s): James Thomas, Laurel Thomas
Claimant Lawyers(s): Matthew H. Griffith
Respondent(s): Bruce Smith, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert Steven Haught, David A. Laughlin, John R. Storm
Hearing Site: Oklahoma City, OK
| | $0 |
| 13-01265 | 06/12/2015 | Claimant(s): Dale Christensen, Diane Anderson, James Davenport, Janice Davenport, Marilyn Christensen, Mark Anderson, Michael Anderson, Susan Anderson, John McCaleb IRA, Apollo Co 401K Plan, Randall Holleyman 2007 Living Trust, Snedegar Childrens Trust
Claimant Lawyers(s): Denielle Williams, Randall K. Calvert
Respondent(s): John Eugster, John Galinsky, Matrix Capital Group.
Respondent Lawyers(s): F. Chet Taylor, Rose M. Schindler
Arbitrator(s): Deana S. Peck, Janice L. Sperow, Donald Dreyfus
Hearing Site: Phoenix, AZ
| | $1,537,600 |
| 14-03496 | 06/12/2015 | Claimant(s): Darryl Moskowitz
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $300 |
| 14-03716 | 06/12/2015 | Claimant(s): Mark Nance
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Paul Lansing
Hearing Site: St. Louis, MO
| | $25 |
| 13-00880 | 06/11/2015 | Claimant(s): Chris Ethridge, Jesse Ethridge, Mark Shapley, Jesse C. Ethridge, IRA, Mississippi Sports Medicine 401(K) Plan, Amy Hatchett and Brad Hatchett, JT TEN
Claimant Lawyers(s): Frank "Kim" Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Patrice L. Stewart, Stephen H. Biller, James L. Warren
Hearing Site: Jackson, MS
| | Expungement |
