| 18-00175 | 10/23/2018 | Claimant(s): Jeffrey Fratarcangeli
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): William C. Kubicz, Robert J. Scafuri, Patrick R. Sughroue
Hearing Site: Detroit, MI
| | |
| 16-03331 | 10/17/2018 | Claimant(s): Adrienne Urban, David Urban
Claimant Lawyers(s): Brian M. Andrew
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Peter Chema
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
|  | Expungement |
| 17-02179 | 09/13/2018 | Claimant(s): Margaret Higginbotham, The Margaret C. Higginbotham Trust
Claimant Lawyers(s): David Meyer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Robert J. Scafuri, Joseph R. Soraghan, Sarah R. Cole
Hearing Site: Columbus, OH
| | Expungement |
| 17-02660 | 08/30/2018 | Claimant(s): Jerrold Flatt
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Robert J. Scafuri, Verne R. Gray, David E. Jarvis
Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |
| 17-01082 | 04/24/2018 | Claimant(s): Catherine Knight, William Knight
Claimant Lawyers(s): David Meyer
Respondent(s): Ernest Romer, Corecap Investments.
Respondent Lawyers(s): Ernest Julius Romer, Steven E. Mellen
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | $50,975 |
| 17-00156 | 04/09/2018 | Claimant(s): Tami Schneider
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): Christopher Barone, Richard Barone, America Northcoast Securities.
Respondent Lawyers(s): Michael Davis Hoenig
Arbitrator(s): Robert J. Scafuri, Jeffrey M. Bain, Robert Edward Glaser
Hearing Site: Cleveland, OH
| | Expungement |
| 16-02974 | 03/29/2018 | Claimant(s): Dolores Prohaska, Edward Prohaska
Claimant Lawyers(s): Michael H. Schaalman
Respondent(s): David Harris, Kevin Cline, Source Capital Group.
Respondent Lawyers(s): David W. Harris, David Harris, Travis Creed
Arbitrator(s): Robert J. Scafuri, Stanley H. Michelstetter, Susan H. Schleisner
Hearing Site: Milwaukee, WI
| | $300,000 |
| 17-01548 | 03/15/2018 | Claimant(s): Paisu Kang
Claimant Lawyers(s): David M. Saperstein
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | |
| 16-01860 | 01/16/2018 | Claimant(s): Marita Ashmore, Michael Ashmore
Claimant Lawyers(s): Robert S. Banks
Respondent(s): Eric Willer, Kevin Lane, Michael Conte, Fusion Analytics Securities LLC, Fusion Analytics Investment Partners LLC
Respondent Lawyers(s): John Stewart
Arbitrator(s): Robert J. Scafuri, Peter Glasser, Michael S. Berman
Hearing Site: Pittsburgh, PA
| | $100,000 |
| 17-01778 | 11/07/2017 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L. Lathrop
Respondent(s): Terry Bahgat
Respondent Lawyers(s): Terry Dean Bahgat
Arbitrator(s): Robert J. Scafuri
Hearing Site: Buffalo, NY
| | |
