| 18-02210 | 10/17/2018 | Claimant(s): Howard King
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): Jeffry L. Perlman
Hearing Site: Washington, DC
|  | $44,100 |
| 18-00333 | 10/09/2018 | Claimant(s): Melanie Folstad
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | |
| 18-01003 | 08/27/2018 | Claimant(s): Randall Sandstrom
Claimant Lawyers(s): Paul J. Bazil
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Olivia Milbank Farrar
Hearing Site: Washington, DC
| | |
| 18-00116 | 08/20/2018 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Jeffry L. Perlman, Joan M. Confoy, Thomas James Hirsch
Hearing Site: Washington, DC
| | |
| 18-00943 | 08/06/2018 | Claimant(s): Vincent Chu
Claimant Lawyers(s): Vincent Chu
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Robert Charkovsky
Hearing Site: Washington, DC
| | $375 |
| 18-00427 | 07/18/2018 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Bonnie K. Wachtel, Jane C. Carney, Christopher Ryan Moore
Hearing Site: Washington, DC
| | |
| 17-01664 | 07/16/2018 | Claimant(s): Anna Wilczynski, Anna U. Wilczynski Liviing Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Aegis Capital Corp., Capitol Securities Management.
Respondent Lawyers(s): Gary A. Varnavides, Janet K. DeCosta
Arbitrator(s): David Paul Clark, Patricia H. Latham, Keith Daniel Greenberg
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
| 18-00186 | 06/27/2018 | Claimant(s): Michael Riddick
Claimant Lawyers(s): Michael Riddick
Respondent(s): Adrian Voytelmgum, AXA Advisors, Dennis Paska
Respondent Lawyers(s): Hector D. Geribon, Jessica E. Levine
Arbitrator(s): Larry E. Ray
Hearing Site: Washington, DC
| | $0 |
| 13-00039 | 06/19/2018 | Claimant(s): Estate of Marion M. Young, Estate of Seymour R. Young, The Young Family Trust
Claimant Lawyers(s): Ford C. Ladd
Respondent(s): Christopher Cunningham, Wells Fargo Advisors, Fulcrum Securities
Respondent Lawyers(s): Andrew R. Park, Christopher Matthew Cunningham, William P. Behrens
Arbitrator(s): David Paul Clark, Carl William Noller, Patricia H. Latham
Hearing Site: Washington, DC
| | $127,000 |
| 17-02798 | 06/15/2018 | Claimant(s): David Levine
Claimant Lawyers(s): David I. Hantman
Respondent(s): Ameriprise Financial Services., UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono, Howard M. Klausmeier
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | |
