17-01254 | 08/05/2019 | Claimant(s): Bin Liu, Bing Dao, Daquan Li, Fawn Lin-Moy, Folim Halaka, Hailin Yan, Hana Shenouda, Hang Yuan, Jan Cheng, Jia Liu, Jie Chen, John Pollick, Jun Zhou, Ke Zhang, Ling Li, Liping Zhong, Min Zhang, Minqi Wan, Mu Liu, Philip Zou, et al Claimant Lawyers(s): Andrew Stoltmann Respondent(s): Sara Ng Respondent Lawyers(s): Nancy L. Hendrickson Arbitrator(s): Philip J. Glick, Elizabeth C. Simon, Michael R. Sherwin Hearing Site: Chicago, IL
| | Expungement |
16-03753 | 07/22/2019 | Claimant(s): Eliot Barnett, Emily Bernstein, Jason Werner, Jeffrey Werner, Jessica Barnett, Laurie Werner, Louis Barnett, Matthew Bernstein, Nathan Barnett, Rhoda Bernstein, Eliot B. Barnett IRA, Jason B. Werner, IRA, Jeffrey M. Werner, Lon T. Werner, Matthew B. Bernstein, B3G Partnership, Barnett Grandchildren Partnership, II, BGC Initial Trust, Barnett Exempt Marital Trust, Barnett Family Foundation, et al Claimant Lawyers(s): Richard A. Lewins Respondent(s): Christopher Anthony Respondent Lawyers(s): Christopher Paul Anthony Arbitrator(s): Louis J. Weber, Edward Bradbury Cloutman, Richard Thomas Huston Hearing Site: Dallas, TX
| | $50,000 |
16-01018 | 06/20/2019 | Claimant(s): Amy Eisner, Carolyn Herrmann, David Freilicher, Ellen Nass, Hal Nass, Helene Posnick, Herbert Pfeffer, Jean Schram, John Skalicky, Kirstine Schaeffer, Lawrence Eisner, Marc Hyman, Myrna Barzelatto, Paul Posnick, Richard Schram, Robert Gluckin, Robert Skollar, Thomas Herrmann, William Bernstein, Estate of Joan B. Gluckin, et al Claimant Lawyers(s): Adam J. Weinstein, Adam Gana Respondent(s): David Blisk, Suzanne McKeown, Spire Securities Respondent Lawyers(s): Paul A. Lieberman Arbitrator(s): Sandra D. Parker, Amy Banet, Albert Rizzo Hearing Site: New York, NY
| | $3,000,000 |
18-00651 | 05/07/2019 | Claimant(s): Aubrey Sanford, Beth Rowlett, Chasidy Lenoir, Christy Camp, Clifford Camp, Earl Davis, Edward Simmons, Emma Smith, F. Fowler, Howard Kerce, Janet Davis, Janice Jeffrey, Kathryn Rheiner, Kent Kebert, Lynn Kebert, Mark Friloux, Maynard Bryant, Michael Borne, Richard Rheiner, Robert Spring, et al Claimant Lawyers(s): Scott D. Hirsch Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): Langfred W. White, Mauricio Arcadier, Avery B. Goodman Hearing Site: Jackson, MS
| | $1,430,750 |
17-01630 | 05/06/2019 | Claimant(s): Brian Windham, Cynthia Newsom, Debra Hodge, Dennis Newsom, Edgar Fellows, Larry Newsom, Linda Byrd, Mel McCoy, Merle Smith, Patricia Roberts, Patsy Harveston, Sheila Chain, Thomas Dees, Connie Saxton IRA, Debra Hodge IRA, Dennis Newsom IRA and Roth IRA, Elaine Moss IRA, Hal Moss IRA, Jackie Boteler IRA, Larry Newsom IRA, et al Claimant Lawyers(s): Judson Lee Respondent(s): Logan Phillips, Morgan Keegan & Company, Raymond, James & Associates. Respondent Lawyers(s): Terry R. Weiss Arbitrator(s): Mark A. Myers, James L. Warren, Theodore Haynes Hearing Site: Jackson, MS
| | $1,790,000 |
16-03743 | 04/22/2019 | Claimant(s): Aileen Vidaud, Alexander Travieso, Amanda Fly, Barbara Edge, Dana Cooper, Donnella Tyler, Edward Fly, James Reynolds, Leila Reynolds, Lina Gibbs, Lynn Gibbs, Michael Edge, Patricia McDaniel, Robert Cooper, Robert Tyler, Shirley Jones, Trent McDaniel, William Vidaud, Estate of J. Michelle Edge, Aileen Vidaud IRA, et al Claimant Lawyers(s): David W. Miller Respondent(s): David Williams, Wilson Williams Respondent Lawyers(s): Dena L. Mathis Arbitrator(s): Bertrand C. Moser, Stephen James Cavanaugh, Camille Morris Tankersley Hearing Site: Houston, TX
| | $358,387 |
17-00062 | 08/13/2018 | Claimant(s): Guy Gannett Trust FBO Corson/Williams, Guy Gannett Trust FBO J. Gannett, et al Claimant Lawyers(s): Justin Sauerwald Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Timothy P. Burke Arbitrator(s): Richard J. Fuller, Elizabeth A. Townes, Sydney E. Blum Hearing Site: Tampa, FL
| | Expungement |
16-02726 | 10/13/2017 | Claimant(s): UBS Financial Services Inc., Mark Fasano Claimant Lawyers(s): Michael T. West Respondent(s): Alex Lindig, Andrew Heringman, Elena Macedonio, Garrett Donahue, Silvia Donahue, Andu Ltd/Lindig Holding, Andu Ltd/Pungus Donahue Holding, Andu Ltd/Pungus Macedonio Holding, Andu Ltd/Pungus/Garrett Donahue Holdi, Andu Ltd/Pungus/Lindig Grandchildren, Andu Ltd.LP/Macedonio Holding, G.P. Pungus, GP Pungus Lindig Account, GP Pungus/General Separate Account, GP Pungus, Ltd., GP Pungus/Donahue Account, GP Pungus/Macedonio Account, GP Pungus/LP Lindig Grandchildren's, Mace Enterprises, Sunwet Enterprises., et al Respondent Lawyers(s): Jonathan W. Evans Arbitrator(s): David J. Anderson Hearing Site: Los Angeles, CA
| | Expungement |
15-00963 | 11/22/2016 | Claimant(s): Carl Alexen, Kristy Crouch, Louis Morales, Luis Mendez, Marianne Kuzneski, Martha Phillips, Mary Steele, Michel Sanner, Mildred Jazmin, Mitsi Yoss, Phyllis Kuo, Sonia Johnson, Suzette Cohen, Timothy Wassil, Verna Papotta, Wesley Kuo, William Kuzneski, Christel Vincth IRA, Martha Phillips IRA, Ronald Turner IRA, et al Claimant Lawyers(s): Adam J. Gana, Adam J. Weinstein, Daniel Gwertzman Respondent(s): Wilson-Davis & Company. Respondent Lawyers(s): Mark O. Van Wagoner Arbitrator(s): Kenneth E. Owen, Eric Gad Forster, Daniel James Yee Hearing Site: Los Angeles, CA
| | $99,441 |
15-00014 | 08/24/2016 | Claimant(s): Albert Febbo, Anthony Bonner, Barbara Brown, Beck Demery, Betty Markey, Bryan Solt, Carol Cutler, Charles Katko, Dana Shanbrom, David Bonner, David Wesenberg, Debi Howe, Diane Crivella, Erwin Billig, Frederick Allor, Gary Lannen, George Fetsco, Harlan Blomquist, Harold Sperlich, Jacqueline Wojas, et al Claimant Lawyers(s): Robert Wayne Pearce Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Edward M. Olson, Michael J. Meeusen, Michele Renee Zinn Hearing Site: Detroit, MI
| | Expungement |