| 14-01787 | 03/06/2015 | Claimant(s): Marc Wolff
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Carmen Brun
Arbitrator(s): Richard S. Zaifert, Gayle B. Carlson, Sandra Dyne Sapp
Hearing Site: Tampa, FL
| | |
| 14-00194 | 08/22/2014 | Claimant(s): James Nagengast, Kevin Miller
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Carmen Brun
Arbitrator(s): Robert G. Scott, Thomas J. Pleiss, Verne R. Gray
Hearing Site: Omaha, NE
| | |
| 13-03781 | 07/30/2014 | Claimant(s): James Nagengast
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Carmen Brun
Arbitrator(s): Mark S. Foster, Henry R. Cox, Hollie M. Mason
Hearing Site: Omaha, NE
| | |
| 13-01436 | 07/30/2014 | Claimant(s): David Hamaker, Ruth Hamaker
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Jeffrey Graunke, Securities America.
Respondent Lawyers(s): Benjamin J. Biard, Elaine M. Rice
Arbitrator(s): Robert J. Walter
Hearing Site: Orlando, FL
|  | Expungement |
| 13-02534 | 03/11/2014 | Claimant(s): William Spalding
Claimant Lawyers(s): Stephen E. Hudson
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Daniel H. Yaffe, Richard S. Zaifert, Laura A. Ledford
Hearing Site: Atlanta, GA
| | |
| 12-02969 | 05/22/2013 | Claimant(s): Alan Yanowitz, Bryan Stoltenberg, Eric Whitehead, Joshua Gregory, Steven Hyman, Timothy Lata
Claimant Lawyers(s): Sarah E. Scott
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Frank D. Connett
Hearing Site: Omaha, NE
| | |
| 12-03509 | 05/03/2013 | Claimant(s): James Nagengast, Kevin Miller
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Thomas J. Pleiss, Verne R. Gray, John R. Loss
Hearing Site: Omaha, NE
| | |
| 12-01305 | 02/07/2013 | Claimant(s): Brett Wilson, Brian Smoot, Clifford Cashman, Darrin Santos, David Gatlin, Dean Evans, Ernest Hathaway, Gary Barker, Greg Coenen, Howard Jeppson, John Plaza, Kevin Korhorn, Lisa Dickholtz, Marty Mitchell, Michael Clark, Michele Young, Robert Greenamyer, Scotty Schoettlin, Stephen Fortner, Steven Fenyves, et al
Claimant Lawyers(s): Bryan M. Ward
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Frank D. Connett
Hearing Site: Omaha, NE
| | |
| 12-01156 | 01/23/2013 | Claimant(s): William Glubiak
Claimant Lawyers(s): Sara E. Scott
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | |
| 10-04445 | 09/02/2011 | Claimant(s): Evanna Ondeck Cohen Rev Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): John R. Pepe, Benjamin L. Abramowitz, Harvey Alan Blicksilver
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
