| 13-02461 | 03/13/2015 | Claimant(s): JT & JT Enterprises.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Maryanne M. Esser, Michele N. O'Brien, Jason Kyle Beale
Hearing Site: Houston, TX
|  | $0 |
| 14-01510 | 03/12/2015 | Claimant(s): Robert Durick
Claimant Lawyers(s): Robert J. Durick
Respondent(s): Success Trade Securities.
Respondent Lawyers(s): Fuad Ahmed
Arbitrator(s): Frank C. Fogl
Hearing Site: Pittsburgh, PA
| | $2,733 |
| 14-02200 | 03/12/2015 | Claimant(s): Douglas Haviland
Claimant Lawyers(s): Douglas Allan Haviland
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $665 |
| 14-00904 | 03/11/2015 | Claimant(s): Antoinette Wilkerson, Bruce Wilkerson, Wilkerson Family Education Trust
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Resource Horizons Group LLC
Respondent Lawyers(s): Kelly S. Miller
Arbitrator(s): Fred M. Ridolphi, Lita S Menkin, A.J. Seier
Hearing Site: Nashville, TN
| | $2,623,000 |
| 12-03425 | 03/10/2015 | Claimant(s): Randy Karp & Associates Defined Benefit, Randy Karp Rollover IRA
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Harry J Saginaw, Lawrence R. Maxwell, Melvin H. Wolovits
Hearing Site: Dallas, TX
| | $0 |
| 12-03901 | 03/10/2015 | Claimant(s): Sandra Harder
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Benjamin Pahl, Fidelity Brokerage Services LLC, Money Concepts Capital Corp
Respondent Lawyers(s): Joel M. Everest, Kathy M. Klock
Arbitrator(s): Kenneth N. Adamson, Susanne J. Hollander, Harvey R. Herman
Hearing Site: Chicago, IL
| | $0 |
| 13-00938 | 03/10/2015 | Claimant(s): William Farrington, Academy Rubber Stamp.
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): LPL Financial LLC, Douglas Flynn, Richard Zito, Flynn Zito Capital Management
Respondent Lawyers(s): Ryan Gustafson
Arbitrator(s): Lise Gabrielle Hunter, Steven J. Brill, Geri S. Krauss
Hearing Site: New York, NY
| | $0 |
| 14-01895 | 03/10/2015 | Claimant(s): Emily Martin
Claimant Lawyers(s): Emily Shay Martin
Respondent(s): UBS Financial Services Inc., Rainey Miller
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $40,000 |
| 14-01030 | 03/10/2015 | Claimant(s): Jeffrey Wertz, Kathryn Madison
Claimant Lawyers(s): Darlene Pasieczny, Robert S. Banks
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Paul R. Meyer
Hearing Site: Portland, OR
| | $0 |
| 14-02060 | 03/10/2015 | Claimant(s): Louise Nervo
Claimant Lawyers(s): Naomi Singh
Respondent(s): Stephen Garguilo
Respondent Lawyers(s): Stephen J. Garguilo
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $38,864 |
