| 14-03593 | 06/03/2015 | Claimant(s): John Erickson
Claimant Lawyers(s): John F. Erickson
Respondent(s): William Nelson, Meyers Associates, L.P.
Respondent Lawyers(s): David S. Schrader
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
|  | $0 |
| 14-01507 | 05/20/2015 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Peter E. Schurig
Respondent(s): Marilyn Hoosen
Respondent Lawyers(s): Marilyn S. Hoosen
Arbitrator(s): June White Dillard
Hearing Site: Washington, DC
| | |
| 14-03141 | 05/14/2015 | Claimant(s): Dawn Bennett
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Randy Cepuch, David Paul Clark, Aaron Petty
Hearing Site: Washington, DC
| | |
| 13-03048 | 05/13/2015 | Claimant(s): Yolanda Bauza
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Janet Stern Solomon, Douglas Earl McLaren, James R. Stirn
Hearing Site: Washington, DC
| | $200,000 |
| 14-02493 | 04/20/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ian L. Reynolds
Respondent(s): Robert Burke
Respondent Lawyers(s): Robert Joseph Burke
Arbitrator(s): Janet Stern Solomon
Hearing Site: Washington, DC
| | |
| 14-01099 | 04/08/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Douglas Gill
Respondent Lawyers(s): Douglas Joseph Gill
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
| | |
| 14-00418 | 03/16/2015 | Claimant(s): Dorothy Aukofer
Claimant Lawyers(s): John P. Connolly
Respondent(s): Frederick Baerenz, AOG Wealth Management, Cetera Advisors LLC, Pacific West Securities.
Respondent Lawyers(s): Joseph D. Edmondson, Jr, Kate E. DiGeronimo, Shanon Ford
Arbitrator(s): Kevin D. Judd, Christopher M. McMurray, Stephen D. Altman
Hearing Site: Washington, DC
| | $0 |
| 13-03541 | 02/13/2015 | Claimant(s): Anthony Kurtz, Nancy Legum
Claimant Lawyers(s): Paul C. Kurtz
Respondent(s): RBC Capital Markets LLC, Samuel Koltun
Respondent Lawyers(s): Priscilla A. Donovan
Arbitrator(s): Jeffry L. Perlman, Chris J. Conanan, Michael R. Snow
Hearing Site: Washington, DC
| | $0 |
| 13-00294 | 02/02/2015 | Claimant(s): Jameson Hamilton, Jeffrey Sciscilo, Jennifer Reiley, Joshua Goulding, McLaughlin Ryder Advisory Services, McLaughlin Ryder Investments.
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Kelly Campbell, Campbell Financial Management., Campbell Wealth Management.
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Emily Eiselman Hunter, Robert Vaughan Cornish, Robert Field
Hearing Site: Washington, DC
| | |
| 11-04166 | 02/02/2015 | Claimant(s): Warren Teitelbaum
Claimant Lawyers(s): George S. Mahaffey
Respondent(s): Jay Canell, Morgan Stanley, Neil Canell
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Robert Paulger Linn, John Joseph Sullivan, Douglas Earl McLaren
Hearing Site: Washington, DC
| | $0 |
