| 14-01054 | 02/10/2015 | Claimant(s): James Young
Claimant Lawyers(s): Robert H. Stevenson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
|  | $0 |
| 13-01564 | 02/09/2015 | Claimant(s): Michael Kealy
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Harvey Fuchs, MML Investors Services
Respondent Lawyers(s): Julie E. Ravis, Kate E. DiGeronimo
Arbitrator(s): Cheryl H. Agris, Andrew J. Gerber, Brian Lawrence Berlandi
Hearing Site: New York, NY
| | $0 |
| 13-01962 | 02/09/2015 | Claimant(s): Donald Bowman, Eileen Bowman
Claimant Lawyers(s): Steven M. Wilker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Linda I. Thomas, William J. Bender, James G. Dawson
Hearing Site: Seattle, WA
| | $0 |
| 13-03392 | 02/06/2015 | Claimant(s): Hans Taulien, Irene Taulien
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Travis R. Chapin
Arbitrator(s): G. Marshall Abbey
Hearing Site: Chicago, IL
| | $0 |
| 14-00635 | 02/06/2015 | Claimant(s): Julie Schmidt
Claimant Lawyers(s): Jeffrey D. Pederson
Respondent(s): Frank Black, Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black, Frank Harmon Black
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $52,152 |
| 13-03420 | 02/05/2015 | Claimant(s): Paul and Maureen Tangerman
Claimant Lawyers(s): Elissa Germaine
Respondent(s): Citigroup Global Markets., Robert Fallone
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | $0 |
| 13-01263 | 02/04/2015 | Claimant(s): Willie Flores
Claimant Lawyers(s): Eric A. Woosley
Respondent(s): Christopher Ariola
Respondent Lawyers(s): Christopher B. Ariola
Arbitrator(s): Mary M. O'Neil, Robert Dean McKinley, David K. Slay
Hearing Site: Los Angeles, CA
| | $0 |
| 13-01411 | 02/04/2015 | Claimant(s): CIFG Assurance North America.
Claimant Lawyers(s): Sean Baldwin
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): William B. Monahan
Arbitrator(s): Mitchell S. Friedman, Fred L. Simon, Renee La Verne Ross CFP
Hearing Site: New York, NY
| | $2,500,000 |
| 13-03231 | 02/04/2015 | Claimant(s): Lila Luttrell
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): George Bokios, Regal Securities.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Blaine Smith, Richard J. Stall, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 14-01282 | 02/04/2015 | Claimant(s): Robert Goard
Claimant Lawyers(s): Robert W. Goard
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | $0 |
