| 14-03535 | 06/04/2015 | Claimant(s): Harold Boritz, Karen Boritz
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
|  | $163 |
| 13-02766 | 06/03/2015 | Claimant(s): Estate of Donald F. Peters, Deceased, EDFP Limited Partnership
Claimant Lawyers(s): Christopher Mader
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Mark R. Lee, Ronald O. Bub, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
| 13-03295 | 06/03/2015 | Claimant(s): William Chesser
Claimant Lawyers(s): William D. Chesser
Respondent(s): Wells Fargo Advisors, Curtis Dees
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Stuart K. Furman, Thomas Joseph Atkinson, Lori Beth Kamen
Hearing Site: Orlando, FL
| | $0 |
| 14-03593 | 06/03/2015 | Claimant(s): John Erickson
Claimant Lawyers(s): John F. Erickson
Respondent(s): William Nelson, Meyers Associates, L.P.
Respondent Lawyers(s): David S. Schrader
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
| | $0 |
| 14-03617 | 06/03/2015 | Claimant(s): Timothy McDonough
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): John J. Flynn
Hearing Site: Honolulu, HI
| | $88 |
| 11-03381 | 06/02/2015 | Claimant(s): Daniel Gulak
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): Patrick Nelson, Robert Angle, White Pacific Securities.
Respondent Lawyers(s): Christopher Mader, Elizabeth Lowery
Arbitrator(s): Richard D. DeVita, Linda J. Baer, Robert T. Costello
Hearing Site: Newark, NJ
| | $250,000 |
| 14-00876 | 06/02/2015 | Claimant(s): Lydia Custer, Roger Custer
Claimant Lawyers(s): Clark L. Davidson, Martha Bonin
Respondent(s): United Securities Alliance.
Respondent Lawyers(s): Michael Jones
Arbitrator(s): Steven M. Feder
Hearing Site: Denver, CO
| | Dismissed by Rule 12206 |
| 14-01373 | 06/02/2015 | Claimant(s): Jeffrey and Julie Mullen
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): Gregory Jacobson, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Stephen L. Lister, S. Charles Tabak, Martin R. Cramer
Hearing Site: Newark, NJ
| | Expungement |
| 14-02188 | 06/02/2015 | Claimant(s): John A. Imperato
Claimant Lawyers(s): John A. Imperato
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Marie G. Peterson, Philip L. Manczak, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
| | $1,425 |
| 11-04242 | 06/02/2015 | Claimant(s): Anatoliy Matsur
Claimant Lawyers(s): Gareth De Santiago-Keene
Respondent(s): Alberto Chavez, Chase Investment Services Corp., John Cholankeril
Respondent Lawyers(s): Thomas E. Stagg
Arbitrator(s): Morton S. Bunis, Mia Scanga, John Herbert Grefe
Hearing Site: Newark, NJ
| | $0 |
