| 14-02126 | 02/24/2015 | Claimant(s): John Daciuk
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
|  | $300 |
| 12-03842 | 02/23/2015 | Claimant(s): Estate of John O'Quinn
Claimant Lawyers(s): Cynthia R Levin Moulton
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): James E. Schlottmann, Robert L. Moran, Eric R. Benton
Hearing Site: Houston, TX
| | $0 |
| 13-02754 | 02/23/2015 | Claimant(s): Rodolfo C. and Maria O. Del Real Family
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Andrew R. Epstein, Sterling N. Frost, Gary H. Kahn
Hearing Site: San Francisco, CA
| | $0 |
| 14-03719 | 02/23/2015 | Claimant(s): James Welch, Janet Welch
Claimant Lawyers(s): Lars K. Soreide
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | $275,077 |
| 14-00018 | 02/23/2015 | Claimant(s): Stanley Abel
Claimant Lawyers(s): David M. Sobel
Respondent(s): Henry Scheuer, Janney Montgomery Scott LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): William A. Hohauser, Robert S. Getman, Alice E. Winkler
Hearing Site: New York, NY
| | $0 |
| 14-00679 | 02/23/2015 | Claimant(s): Myrna Borus and David Borus
Claimant Lawyers(s): David Borus
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): James M. Rhodes, Alice Holly Oshins, Louis P. Wagman
Hearing Site: New York, NY
| | $0 |
| 13-01817 | 02/20/2015 | Claimant(s): Sadie's Surprise
Claimant Lawyers(s): Gary Menzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | $0 |
| 13-02381 | 02/20/2015 | Claimant(s): David Rose, Joanna Speed, Lawrence Rose, Clare Rose Trust, Zaillian Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): John E. Ohashi, June McLaughlin, Janice A. Salter
Hearing Site: Los Angeles, CA
| | $0 |
| 14-00298 | 02/20/2015 | Claimant(s): Donna Hinschliff, George Hinchcliff
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Herman Kahn, NFP Securities.
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Daniel G. Zeiser, Marvin Richard Dunlap, Rosemary Christina Crawford
Hearing Site: Pittsburgh, PA
| | $0 |
| 13-00016 | 02/18/2015 | Claimant(s): Jay Lehman, Lawrence Monaldo, Sheldon Sevinor, David Cormier DDS Pension Plan, Northshore Oral Surgery Group PC, Plastic Surgery Services FBO: S. Sevinor
Claimant Lawyers(s): Dimitri Nemirovsky, Kevin D. Galbraith
Respondent(s): Jack Brimberg, Jay Tomlinson, William Lewis, Brimberg & Co., Monarch Capital Group
Respondent Lawyers(s): Allen C. Miller, Robert L. Herskovits, Thomas J. Fleming
Arbitrator(s): Hugh N. Fryer, Joel P. Mellis, John Nino Brenkovich
Hearing Site: New York, NY
| | $56,703 |
