| 14-00565 | 02/26/2015 | Claimant(s): Roberta Britt, Roberta Noel Britt Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): Kenneth Miles
Respondent Lawyers(s): Kenneth Charles Miles
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
|  | $100,000 |
| 13-03016 | 02/26/2015 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Fred Hamsayeh, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson, Fred Hamsayeh
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
| | $0 |
| 13-03408 | 02/26/2015 | Claimant(s): Lawrence Hake
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Charles G. Michaels, Suanne M. Parro, Margaret Ann Barrington
Hearing Site: Denver, CO
| | $0 |
| 14-00346 | 02/26/2015 | Claimant(s): Davin Wenner
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert J. Gryzmala, Joseph R. Soraghan, Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | $0 |
| 14-02201 | 02/26/2015 | Claimant(s): Xiwei Wu
Claimant Lawyers(s): Xiwei Wu
Respondent(s): Zhaohui Chen, Transamerica Financial Advisors
Respondent Lawyers(s): Susan Duff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $0 |
| 14-02161 | 02/25/2015 | Claimant(s): Douglas Redding
Claimant Lawyers(s): Leonard T. Offutt
Respondent(s): Zachary Bader
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Christine C. DeMoss
Hearing Site: Omaha, NE
| | $43,115 |
| 13-03337 | 02/25/2015 | Claimant(s): Nicholas Custer, Nicholas R. Custer, IRA
Claimant Lawyers(s): Susan E. Fisher
Respondent(s): Leslie Goldstein, Robert Hart, Sigma Financial Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Samuel B. Garber
Hearing Site: Chicago, IL
| | $600 |
| 14-01205 | 02/24/2015 | Claimant(s): Dierdre Garvin, Gregory Garvin
Claimant Lawyers(s): Sandra Malkin
Respondent(s): Jerry Mccutchen, Berthel, Fisher & Co Fin. Srvcs.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Frank W. Virgin
Hearing Site: Birmingham, AL
| | $0 |
| 13-02146 | 02/24/2015 | Claimant(s): Esther Weiss
Claimant Lawyers(s): Leah Shedlo
Respondent(s): Batholomew Sweeney, Bernard Fuchs, Ilona Nath, Lori Fass, Merrill Lynch Pierce Fenner & Smith
Respondent Lawyers(s): Edward M. Ross, Nikolas S. Komayti
Arbitrator(s): Laura Carraher, Marcia L. Adelson, Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 14-01127 | 02/24/2015 | Claimant(s): Michael Strathman
Claimant Lawyers(s): Adam M. Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $0 |
