| 14-01552 | 06/08/2015 | Claimant(s): Cindy-Marie Rogers
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Joan Norton, Ausdal Financial Partners.
Respondent Lawyers(s): Jeffrey S. McAllister
Arbitrator(s): Patricia Gatto Hechavarria, Jeffrey P. Petrucelly, Lisette C. Smith
Hearing Site: Boston, MA
|  | $1,250,800 |
| 14-00391 | 06/05/2015 | Claimant(s): Brian Gill
Claimant Lawyers(s): Brian S. Gill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): S. Lee Terry
Hearing Site: Denver, CO
| | $600 |
| 14-01192 | 06/05/2015 | Claimant(s): Andrew Schmoyer, Daniel David, Darrin Boorse, Dawn Southern, Janine Paillard, Jerry Southern, John David, Olivia Flemming, Zou Soueidan
Claimant Lawyers(s): Michael Hill
Respondent(s): E*Trade Securities LLC, E*trade Clearing LLC
Respondent Lawyers(s): Burton Wiand
Arbitrator(s): Ellen J. Abrams, Robert G. Geeseman, Milton Thurm
Hearing Site: Boca Raton, FL
| | $0 |
| 14-03846 | 06/05/2015 | Claimant(s): Charlton Coroni
Claimant Lawyers(s): Charlton Coroni
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | $425 |
| 12-03409 | 06/04/2015 | Claimant(s): Faye Smith, J.O. Godwin, Joseph Smith, June Collier, Lee Roy Collier, Estate of Erma Bowen
Claimant Lawyers(s): Brandon S. Neuman, C. Battles
Respondent(s): Hugh Dyson
Respondent Lawyers(s): Hugh Monroe Dyson
Arbitrator(s): Karen A. West, Thomas W. Allen, David Josephsohn
Hearing Site: Raleigh, NC
| | $437,500 |
| 12-03688 | 06/04/2015 | Claimant(s): Ortopedas Associados Del Oeste Retiremen
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Nancy J. Cliff, Richard J. Kaplan, Rex D.K. Seymour
Hearing Site: San Juan, PR
| | Expungement |
| 13-01621 | 06/04/2015 | Claimant(s): Kenneth Robins, 1746-1750 1/2 North Kingsley Drive
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Fera Shivaee, Centaurus Financial.
Respondent Lawyers(s): Craig R. Bockman, Neil M. Katsuyama
Arbitrator(s): Arthur T. Berggren, Joy Diane Williams, Norman Cousins Sasamori
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-00125 | 06/04/2015 | Claimant(s): Harriett Finkel, Sidney Finkel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Barth Satuloff, Joseph Benalt, David I. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-03642 | 06/04/2015 | Claimant(s): Larry Bender
Claimant Lawyers(s): Larry G. Bender
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ryan T. Barke
Arbitrator(s): Terry F. Peppard
Hearing Site: Indianapolis, IN
| | $0 |
| 14-00178 | 06/04/2015 | Claimant(s): Mary Meyers
Claimant Lawyers(s): Mary Meyers
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Stuart D. Summers
Hearing Site: Columbus, OH
| | $1,740 |
