| 11-02151 | 10/07/2014 | Claimant(s): Gary Quick, The Quick Family Trust
Claimant Lawyers(s): Gary J. Quick
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David Markun
Arbitrator(s): Gerald F. Corrigan, Michael D. Harrison, Christopher L. Mass
Hearing Site: Los Angeles, CA
|  | $0 |
| 14-01001 | 10/07/2014 | Claimant(s): Andrew Silverman
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Sanford S. Finder
Hearing Site: Charlotte, NC
| | $213 |
| 14-01264 | 10/07/2014 | Claimant(s): Louis Profera
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana Gloor
Arbitrator(s): Cecilia B. Loving
Hearing Site: New York, NY
| | $300 |
| 12-01222 | 10/03/2014 | Claimant(s): Ana Pardo, Laura Rodriguez, Manuel Corzo, Rosa Perez Rodriguez, Sofia Perez Brennan, Jaime P. Brennan & Liduvina R. De Perez, Luis A. Rotger & Dolly M. De Argueso
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Jerrold Levine, Richard J. Kaplan
Hearing Site: San Juan, PR
| | $0 |
| 13-00805 | 10/03/2014 | Claimant(s): Julia Furia
Claimant Lawyers(s): Joseph B. Brown
Respondent(s): Merrill Lynch Pierce Fenner & Smith.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
| | $0 |
| 13-02209 | 10/03/2014 | Claimant(s): Carol Humphries, Wilson Humphries
Claimant Lawyers(s): Brian D. Miller, Mitchell S. Ostwald
Respondent(s): Rocco Cortese, Tomas Velken, Sigma Financial Corporation
Respondent Lawyers(s): Avi Wagner, Jonathan M. Sterling
Arbitrator(s): Barbara M. Anscher, Philip Aaron Tymon, Nancy A. Yonge
Hearing Site: San Francisco, CA
| | $0 |
| 13-02717 | 10/03/2014 | Claimant(s): Michael Brennan
Claimant Lawyers(s): Michael W. Brennan
Respondent(s): Gregg Berger, Jeffrey Nunez, Capital Growth Financial, Scottsdale Capital Advisors Corp
Respondent Lawyers(s): D. Michael Cruz, Gregg M. Berger, Jeffrey George Nunez, Michael S. Jacobs
Arbitrator(s): Thomas E. Shuck, Milton N. Gross, Lawrence Yaeger
Hearing Site: Los Angeles, CA
| | $250,000 |
| 14-00808 | 10/03/2014 | Claimant(s): Thomas Strehl and Barbara Strehl
Claimant Lawyers(s): Richard E. Nell
Respondent(s): Daniel Balch, Woodbury Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
| | $9,600 |
| 14-00224 | 10/03/2014 | Claimant(s): Richard Altschul
Claimant Lawyers(s): Richard Altschul
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Michael Zwirko
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 14-01082 | 10/03/2014 | Claimant(s): Jean Boisnier
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $213 |
