| 18-03034 | 07/11/2019 | Claimant(s): Jocelyne Nwaisser, Nader Nwaisser
Claimant Lawyers(s): Gerard Martorano
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Thomas E. Shuck
Hearing Site: Los Angeles, CA
|  | $425 |
| 17-02598 | 04/09/2019 | Claimant(s): Steven Moreno
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): T. Peter R. Pound
Arbitrator(s): Thomas E. Shuck, Lori A. Coleman, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 18-03006 | 03/22/2019 | Claimant(s): Howard Siegel
Claimant Lawyers(s): Howard Siegel
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Thomas E. Shuck
Hearing Site: Las Vegas, NV
| | $0 |
| 17-03334 | 02/13/2019 | Claimant(s): Vanguard Marketing Corporation
Claimant Lawyers(s): Julie E. Ravis
Respondent(s): Derek Zupancic
Respondent Lawyers(s): Derek Zupancic
Arbitrator(s): Thomas E. Shuck, Kendall C. Reed, Frank Centofanti
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01741 | 11/15/2018 | Claimant(s): Jose Calderon
Claimant Lawyers(s): Kenneth Catanzarite
Respondent(s): Eric Marlin, Michael Cruz, Robert Hicks, Finance 500.
Respondent Lawyers(s): Brandon S. Reif, Edward S. Zusman, Jeffrey S. Kob
Arbitrator(s): Robert D. Sussin, Thomas E. Shuck, H. Stuart Waxman
Hearing Site: Los Angeles, CA
| | $0 |
| 18-00735 | 11/07/2018 | Claimant(s): Phillip Shrotman
Claimant Lawyers(s): Phillip Quint Shrotman
Respondent(s): Pension Planners Securities.
Respondent Lawyers(s): Gina Duryea
Arbitrator(s): Thomas E. Shuck, Rosalind Anne Salzman, Mark Alan Sevigny
Hearing Site: Los Angeles, CA
| | |
| 17-00165 | 06/12/2017 | Claimant(s): Paul Michel
Claimant Lawyers(s): Paul Michel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Thomas E. Shuck
Hearing Site: Las Vegas, NV
| | $0 |
| 15-00830 | 04/15/2016 | Claimant(s): Nagarajan Ramasamy
Claimant Lawyers(s): Nagarajan Ramasamy
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Lawton Graves
Arbitrator(s): G. Thomas Fleming, Thomas E. Shuck, George L. Tindall
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03196 | 06/29/2015 | Claimant(s): Victor Jones
Claimant Lawyers(s): Victor D. Jones
Respondent(s): St. Bernard Financial Services.
Respondent Lawyers(s): Robert Keenan
Arbitrator(s): Thomas E. Shuck
Hearing Site: Los Angeles, CA
| | |
| 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 |
