| 12-04071 | 12/30/2014 | Claimant(s): Morris Barkey
Claimant Lawyers(s): Larry Dub
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Michael T. Curley, Lise Gabrielle Hunter, Ronald J. Colombo
Hearing Site: New York, NY
|  | $0 |
| 13-03054 | 12/30/2014 | Claimant(s): Wayne Lewis
Claimant Lawyers(s): Wayne R. Lewis
Respondent(s): Ameriprise Financial Services., Lawrence Van Ollefen
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Steven T. Stern, Louis P. Wagman, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
| | $0 |
| 14-00873 | 12/30/2014 | Claimant(s): Christopher Rausch
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): David Paul Clark
Hearing Site: Wilmington, DE
| | $0 |
| 13-00921 | 12/29/2014 | Claimant(s): Alfred Tombari
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Frances D. Sheehy
Hearing Site: Boca Raton, FL
| | $0 |
| 13-01025 | 12/29/2014 | Claimant(s): Ernst Blumenthal
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Lawrence Labine, DeWaay Advisory, Dewaay Financial Network
Respondent Lawyers(s): Alan Baskin, Mark Davis
Arbitrator(s): Patrick J. Halter
Hearing Site: Albuquerque, NM
| | $103,070 |
| 14-00502 | 12/29/2014 | Claimant(s): James Walker
Claimant Lawyers(s): James F. Walker
Respondent(s): Wells Fargo Advisors, Richard Barcia
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
| | $0 |
| 13-03203 | 12/29/2014 | Claimant(s): Patricia Dennis
Claimant Lawyers(s): Jason P. Ramos
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Edith N. Dinneen, Augusto V. Perrotta, Gary E. Marcus
Hearing Site: Tampa, FL
| | $0 |
| 13-00048 | 12/26/2014 | Claimant(s): Carolyn Eachus, Warren Eachus
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Jill Leeds-Rivera, Kathleen K. Murphy, Paul Ribner
Hearing Site: Philadelphia, PA
| | $0 |
| 14-03546 | 12/26/2014 | Claimant(s): Joe Solarsa
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Vincent J. Natoli, Salvatore A. Sciortino, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | $0 |
| 14-01484 | 12/26/2014 | Claimant(s): Peter Mitchell
Claimant Lawyers(s): Peter A. Mitchell
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Robert M. Goldstein
Hearing Site: New York, NY
| | $88 |
