| 14-02343 | 12/26/2014 | Claimant(s): Jeffrey Goodman
Claimant Lawyers(s): Jeffrey A Goodman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
|  | $0 |
| 14-01417 | 12/24/2014 | Claimant(s): Donald E. Hoke and Jean N. Hoke Family T
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): R. E. Thompson
Arbitrator(s): Donald W. Diones, James D. Knotter, Charles E. Riggs
Hearing Site: Albuquerque, NM
| | $0 |
| 14-00261 | 12/23/2014 | Claimant(s): William Beaumont Hospital
Claimant Lawyers(s): James R. Swanson
Respondent(s): Goldman, Sachs and Company, Morgan Stanley & Co.
Respondent Lawyers(s): Jason M. Fedo, Matthew A. Schwartz
Arbitrator(s): Benjamin A. Kerner, Carl E. Ver Beek, Betty R. Widgeon
Hearing Site: Detroit, MI
| | $0 |
| 14-01383 | 12/22/2014 | Claimant(s): Larry Hendricks
Claimant Lawyers(s): Jan Graham
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Heidi G. Goebel
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
| | $0 |
| 14-01410 | 12/22/2014 | Claimant(s): Edward Kelley
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Karla Y. Vogel
Hearing Site: Columbia, SC
| | $1,786 |
| 13-03364 | 12/22/2014 | Claimant(s): Richard Brooks
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Alexandra L. Dunaif, Arthur M. Handler, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 14-02184 | 12/22/2014 | Claimant(s): Paul Inneo
Claimant Lawyers(s): Paul Inneo
Respondent(s): Michael Goodrich
Respondent Lawyers(s): Ian J. Frimet
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $163 |
| 13-03324 | 12/19/2014 | Claimant(s): James Rowe
Claimant Lawyers(s): James M. Chaney
Respondent(s): Michael Heaton, Paul Raisig, Robert Savage, Leonard Securities, Raisig & Connolly
Respondent Lawyers(s): Joe M. Hampton, Paul Arthur Raisig
Arbitrator(s): Jan Preece Gaddis, Philip I. McConnell, Rowland Denman
Hearing Site: Oklahoma City, OK
| | $200,000 |
| 14-01053 | 12/19/2014 | Claimant(s): Gerald Macaree
Claimant Lawyers(s): Michael Lauterborn
Respondent(s): Franklin Ogele, Patrick White, Blackbook Capital LLC
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
| | $0 |
| 14-01717 | 12/19/2014 | Claimant(s): Arlene Tesch, Kathleen Johnson
Claimant Lawyers(s): T. John Kirk
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Jodee Brubaker-Rager
Arbitrator(s): Jack D. Elmquist
Hearing Site: Minneapolis, MN
| | $0 |
