| 14-01468 | 05/19/2015 | Claimant(s): Lynda Richardson
Claimant Lawyers(s): Amedeo Greco
Respondent(s): Morgan Stanley, Paul Shoemaker, Sandra Murri Johnson
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): James B. Eichberg, Paul E. Dahlman, J. Robert Brown
Hearing Site: Salt Lake City, UT
|  | $25,000 |
| 13-01507 | 05/15/2015 | Claimant(s): Christine Tsionas, Dimitrios Zourdos, Helen Zourdos, John Zourdos, Christine Tsionas IRA, Dimitrios Zourdos IRA, Helen Zourdos IRA, John Zourdos IRA, Helen & John Zourdos JTWROS
Claimant Lawyers(s): Adolfo Anzola
Respondent(s): Pinnacle Investments, Ridgeway & Conger.
Respondent Lawyers(s): Andrew J. Lyons, Brian M. Oubre
Arbitrator(s): Stephen T. Rodriguez, Daniel M. Mankowski, Jennifer L. Bliss
Hearing Site: Syracuse, NY
| | $258,000 |
| 13-02390 | 05/15/2015 | Claimant(s): Ann McCorquodale, Knox McCorquodale, Rex McCorquodale
Claimant Lawyers(s): Andrew D. Gowdown
Respondent(s): Terry Chilton, Chilton Financial Services., Terry Chilton Financial Services, L.P.
Respondent Lawyers(s): Cory S. Reed
Arbitrator(s): Jack Chapline Vaughan, Allan R. Lazor, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $1,172,250 |
| 14-02325 | 05/15/2015 | Claimant(s): Donna Alessio
Claimant Lawyers(s): Donna J. Alessio
Respondent(s): Valic Financial Advisors.
Respondent Lawyers(s): Kortney Farmer
Arbitrator(s): Edward R. Hipp, Henry G. Plaster, Harry J. Haynsworth
Hearing Site: Norfolk, VA
| | Dismissed by Rule 12206 |
| 14-02110 | 05/15/2015 | Claimant(s): Celeste Snyder, Celeste A. Snyder IRA, FBO Celeste A. Snyder ROTH IRA
Claimant Lawyers(s): Celeste A. Snyder
Respondent(s): Deron Allred, John Vanneman, Signator Investors.
Respondent Lawyers(s): Bina Ghanaat, Jibraun B. Riaz
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 14-02928 | 05/15/2015 | Claimant(s): Sidney Saxon IRA
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $300 |
| 14-03730 | 05/15/2015 | Claimant(s): Stafford Juneau
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Heggar Shea
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | $0 |
| 13-03734 | 05/14/2015 | Claimant(s): Stanley Behrens Living Trust dtd July 8
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Morgan Stanley, Rafael De Vengoechea, Sandra Rutan
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Barbara M. Zak, Elliott Zachary Seff, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02596 | 05/14/2015 | Claimant(s): Jacqueline Neamon, William Neamon
Claimant Lawyers(s): Bernard A. Unger
Respondent(s): Michael Ganci
Respondent Lawyers(s): Ronald Klimas
Arbitrator(s): Christopher C. Willett
Hearing Site: Buffalo, NY
| | $213 |
| 13-03048 | 05/13/2015 | Claimant(s): Yolanda Bauza
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Janet Stern Solomon, Douglas Earl McLaren, James R. Stirn
Hearing Site: Washington, DC
| | $200,000 |
