| 13-03012 | 04/07/2015 | Claimant(s): Hilary Musser, Cooper Management Co.
Claimant Lawyers(s): Steven M. Coren
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Barclays Capital Inc.
Respondent Lawyers(s): Coren H. Stern, Julie W. Portera
Arbitrator(s): Will Murphy, Harold S. Stern, Joseph Michael Librie
Hearing Site: Boca Raton, FL
|  | $0 |
| 13-03514 | 04/07/2015 | Claimant(s): Susan Dresnick, Milton D. Lunden Trust
Claimant Lawyers(s): Susan G. Dresnick
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Steven Gerard Goerke, Fred Abramoff, Sanders Williams Gropper
Hearing Site: Miami, FL
| | $0 |
| 13-03663 | 04/07/2015 | Claimant(s): Antonino Arconte
Claimant Lawyers(s): Kenneth J. Anand
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Alexandra L. Dunaif, George E. Berkeley, Joseph I. Liebman
Hearing Site: New York, NY
| | $34,213 |
| 13-01578 | 04/07/2015 | Claimant(s): Pamela Slyter
Claimant Lawyers(s): Terri A. Merriam
Respondent(s): Raymond Kempf, Kempf & Co., Transamerica Financial Advisors
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): Robert M. Stein, Richard L. Warner, Al Van Kampen
Hearing Site: Seattle, WA
| | $201,533 |
| 14-02600 | 04/07/2015 | Claimant(s): Leon Kelsch
Claimant Lawyers(s): Leon Kelsch
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Matthew W. Schlegel
Hearing Site: Detroit, MI
| | $0 |
| 14-02053 | 04/06/2015 | Claimant(s): Tamara Collins
Claimant Lawyers(s): Tamara J. Collins
Respondent(s): LPL Financial LLC, Scott Wilson
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Robert G. Scott
Hearing Site: Wichita, KS
| | $6,631 |
| 14-01244 | 04/02/2015 | Claimant(s): William Peppenhorst
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
| | $57,545 |
| 13-02257 | 04/02/2015 | Claimant(s): Caryn Andrews, Dorothy Clarke
Claimant Lawyers(s): Stephany McLaughlin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): William M. Getzoff, Eugene N. Halladay, James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
| 13-03248 | 04/02/2015 | Claimant(s): Carol Bonner
Claimant Lawyers(s): Carol Bonner
Respondent(s): Daniel Mignone
Respondent Lawyers(s): Daniel Richard Mignone
Arbitrator(s): A. George Saks, David P. Slater, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $150,250 |
| 13-03674 | 04/02/2015 | Claimant(s): Consuela Campana, Michael Donovan, Estate of Virginia Campana
Claimant Lawyers(s): Michael J Betts
Respondent(s): Edward Brown, UBS Financial Services Inc., Louis Sforza
Respondent Lawyers(s): Nicholas P. Vari
Arbitrator(s): Richard W. Dissen, Paul Harry Hill, Mark Alexander Sipper
Hearing Site: Pittsburgh, PA
| | $0 |
