| 13-02879 | 02/18/2015 | Claimant(s): Pauline Duncavage
Claimant Lawyers(s): Thomas P. Willcutts
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): David B. Beizer, Sean Alan D'Amico, Guy R. Sullivan
Hearing Site: Hartford, CT
|  | $0 |
| 14-02179 | 02/18/2015 | Claimant(s): Paul William Stiehl and Patricia Stiehl
Claimant Lawyers(s): Paul Stiehl
Respondent(s): Wells Fargo Advisors, Leland Cary
Respondent Lawyers(s): Leland Cary, Thomas F. Kopshever
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
| | $0 |
| 12-02766 | 02/17/2015 | Claimant(s): Glen Lyon Long-Term Options
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Interactive Brokers Llc
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $666,618 |
| 13-02319 | 02/17/2015 | Claimant(s): Doreen Torre, Doreen Torre Trust
Claimant Lawyers(s): Doreen Torre
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Thomas R. Carlsen, Ellen I. Siegman, Wendi Blake
Hearing Site: Tampa, FL
| | $0 |
| 12-01164 | 02/13/2015 | Claimant(s): Linda Stillman Trust
Claimant Lawyers(s): Raquel Kraus
Respondent(s): Jonathan Stillman, Gilford Securities Incorporated, Linda Stillman Trust
Respondent Lawyers(s): Jonathan Stillman, Michael Kalmus
Arbitrator(s): Robert S. Getman, Timothy P. Kebbe, William H. Morley
Hearing Site: New York, NY
| | $0 |
| 12-02012 | 02/13/2015 | Claimant(s): Caroline Samuel Trust by Canadaigua Nati, Samuel Family Trust by Rebecca and Richa
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Christine Samuel, Richard Oaster, Ensemble Financial Services.
Respondent Lawyers(s): George D. Sullivan, James E. Metzler, Luigi Spadafora
Arbitrator(s): Daniel M. Mankowski, Peter A.P. Dunlop, Edmund Viele
Hearing Site: Syracuse, NY
| | $1,200,000 |
| 13-02460 | 02/13/2015 | Claimant(s): Rose LaBolle
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Christopher Tovar
Arbitrator(s): Jeffry M. Bauer, Edward A. Porter, Peter C. Rageas
Hearing Site: Detroit, MI
| | $299,858 |
| 13-02591 | 02/13/2015 | Claimant(s): Anthony Fox, Susan Fox
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Richard L. Warner, Roy J. Moceri, Ann Sattler
Hearing Site: Seattle, WA
| | $0 |
| 14-00394 | 02/13/2015 | Claimant(s): Jonathan Plavnick
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Janet Stern Solomon
Hearing Site: Baltimore, MD
| | $0 |
| 13-03374 | 02/13/2015 | Claimant(s): Richard Felter, Rosemary Felter Trust
Claimant Lawyers(s): Gail Boliver
Respondent(s): Joseph Russo, National Planning Corporation
Respondent Lawyers(s): Jesse Linebaugh
Arbitrator(s): John J. Miller, Alan B. Fender, Thomas J. Duff
Hearing Site: Des Moines, IA
| | $1,220,600 |
