| 14-01010 | 03/19/2015 | Claimant(s): Estate of Gerard Gannon
Claimant Lawyers(s): Jack Cawley
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Leslie Ruth Nydick
Hearing Site: Newark, NJ
|  | $0 |
| 14-01780 | 03/19/2015 | Claimant(s): Doyn Simpson
Claimant Lawyers(s): Doyn W. Simpson
Respondent(s): Christopher Ariola, James Williams
Respondent Lawyers(s): Christopher B. Ariola, James Williams
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01236 | 03/18/2015 | Claimant(s): Angela Polito, Antonio Polito
Claimant Lawyers(s): Andrew J. Schatkin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $0 |
| 14-02167 | 03/18/2015 | Claimant(s): Betsy Ferrer-Pagan, Fernando Rivera-Vega
Claimant Lawyers(s): Fernando Rivera-Vega
Respondent(s): Fernando Batlle Hernaiz, Hortensia Llavat, Santander Securities LLC
Respondent Lawyers(s): Mauricio O. Muniz-Luciano
Arbitrator(s): Monroe Mitchel
Hearing Site: San Juan, PR
| | $17,800 |
| 13-00364 | 03/17/2015 | Claimant(s): The Donald J. Adams Trust
Claimant Lawyers(s): J. Ray Ayers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Bank of America, N.A.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Laurel Littman Gothelf, Seymour A. Kolman, Edwin John Apenbrink
Hearing Site: Las Vegas, NV
| | $0 |
| 13-02837 | 03/17/2015 | Claimant(s): The Estate of Harold Zimmerman
Claimant Lawyers(s): Robert R. Sparks
Respondent(s): John Steffen, Raymond James Financial Services., William Nagy, CFD Investments., Creative Financial Designs.
Respondent Lawyers(s): Erin K. Linehan, Paul D. Vink
Arbitrator(s): Stephen P. Calardo, Gregory P. Szuter, A. Brian McIntosh
Hearing Site: Cincinnati, OH
| | $165,148 |
| 14-00521 | 03/17/2015 | Claimant(s): Susan Pulice
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Sarah Barish, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | $0 |
| 13-01207 | 03/16/2015 | Claimant(s): James Wick
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Thomas A. Peterson, Patricia G. Parthe, Louis M. Parker
Hearing Site: Phoenix, AZ
| | $0 |
| 14-00418 | 03/16/2015 | Claimant(s): Dorothy Aukofer
Claimant Lawyers(s): John P. Connolly
Respondent(s): Frederick Baerenz, AOG Wealth Management, Cetera Advisors LLC, Pacific West Securities.
Respondent Lawyers(s): Joseph D. Edmondson, Jr, Kate E. DiGeronimo, Shanon Ford
Arbitrator(s): Kevin D. Judd, Christopher M. McMurray, Stephen D. Altman
Hearing Site: Washington, DC
| | $0 |
| 14-00830 | 03/16/2015 | Claimant(s): Brian Gurinsky
Claimant Lawyers(s): Paul Vorndran
Respondent(s): Pershing LLC, Shareholders Service Group.
Respondent Lawyers(s): Daniel F. Shea, Jeffrey S. Kob
Arbitrator(s): William F. Skewes, Steven Meyrich, Stephen Kirk Ingebretsen
Hearing Site: Denver, CO
| | $0 |
