| 12-02723 | 12/04/2013 | Claimant(s): Deborah Mellis
Claimant Lawyers(s): Stephen G. Cochran
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Emily Eiselman Hunter
Hearing Site: Washington, DC
| | |
| 11-03793 | 10/16/2013 | Claimant(s): Marise Engel, Richard Engel, Richard J. and Marise A. Engel
Claimant Lawyers(s): Richard Engel
Respondent(s): Brion Collins, Gary Tsoumas, Jack Kapinus, Todd Sivak, MML Investors Services
Respondent Lawyers(s): Beth A. Dodson, Fred N. Knopf, Patrick J. Lubenow, Ross A. Anderson
Arbitrator(s): Herbert H. Neuer, Terry F. Peppard, James Richard Carlson
Hearing Site: Milwaukee, WI
|  | $0 |
| 10-04047 | 03/27/2013 | Claimant(s): Karen Lamoreaux, Karen Lamoreaux IRA, The Socal Air. Profit Sharing Plan, The Lamoreaux Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): Eric Cannon, Gitty Rahbar, Kimberly Michel, MML Investors Services
Respondent Lawyers(s): Eric Christopher Cannon, Louis H. Castoria, Sylvia M. Scott, William P. Thornton
Arbitrator(s): Richard J. Stall, Eugene A. Taylor, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | $1,137,920 |
| 11-01943 | 11/20/2012 | Claimant(s): William Otto, William L. Otto Irrevocable Lifetime Tru
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Joseph Gill, Lore Gordon, MML Investors Services
Respondent Lawyers(s): Barry R. Temkin, Mathew Tracy, William P. Thornton
Arbitrator(s): Steven David Leader, Leslie Ruth Nydick, Edwin H. Bennett
Hearing Site: New York, NY
| | Expungement |
| 10-03082 | 04/20/2012 | Claimant(s): Estate of Joanne Liona Murray
Claimant Lawyers(s): Wayne T. Murray
Respondent(s): Gary Whittier, Roy Caso, MML Investors Services, Mass Mutual Financial Group
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Paul L. Matecki, Charles W. Lavender, Karl A. Vogeler
Hearing Site: Tampa, FL
| | $0 |
| 11-01417 | 01/04/2012 | Claimant(s): Michael Weigand, Richard LaValley
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Garry Payne, New England Securities, Signator Investors., Lincoln Financial Advisors Corporation, MML Investors Services
Respondent Lawyers(s): Janene M. Marasciullo, Linda H. Joseph, Michael G. Donovan, William P. Thornton
Arbitrator(s): Christopher C. Willett, Allan H. Kaminsky, Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
