| 19-00390 | 08/29/2019 | Claimant(s): Ron Zimmermann
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Susan M. Thevenet
Hearing Site: Denver, CO
| | |
| 17-03263 | 04/15/2019 | Claimant(s): Richard Scott
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): WesBanco Securities.
Respondent Lawyers(s): Jeffery D. Kaiser
Arbitrator(s): Susan M. Thevenet, Mary Kathleen Coleman, Peter Mark Elish
Hearing Site: Pittsburgh, PA
|  | Expungement |
| 17-03289 | 02/12/2019 | Claimant(s): Jessica Russell
Claimant Lawyers(s): John E Sutherland
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Ronald L. Cheney, Susan M. Thevenet, Peter L. Murray
Hearing Site: Augusta, ME
| | Expungement |
| 18-00725 | 08/13/2018 | Claimant(s): Kelly Fluharty
Claimant Lawyers(s): Kelly Fluharty
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Susan M. Thevenet
Hearing Site: Des Moines, IA
| | $23,799 |
| 15-00382 | 03/27/2017 | Claimant(s): Jerry Heilman, Mary Heilman, Tony Tasca
Claimant Lawyers(s): Alan Rosca, Hugh D. Berkson
Respondent(s): Primesolutions Securities.
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Susan M. Thevenet, Nancy Fioritto, Kevin Brodar
Hearing Site: Cleveland, OH
| | Stipulated Award |
| 15-03368 | 11/25/2016 | Claimant(s): Whitman Evans
Claimant Lawyers(s): Michael J. Betts
Respondent(s): Charles Correal, Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Susan M. Thevenet, Richard W. Dissen, Miles David Braverman
Hearing Site: Pittsburgh, PA
| | $0 |
| 16-00506 | 08/12/2016 | Claimant(s): Damon Binder
Claimant Lawyers(s): David Meyer
Respondent(s): Anthony Fusco, Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Susan M. Thevenet
Hearing Site: Des Moines, IA
| | $50,600 |
| 10-02060 | 03/21/2012 | Claimant(s): David Nassar, Tracy Nassar, CLD
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Goldman, Sachs and Company, Drew Corradini
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Susan M. Thevenet, Charles A. Newton, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | Expungement |
| 10-03824 | 11/16/2011 | Claimant(s): Mary Daige
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Susan M. Thevenet
Hearing Site: Albuquerque, NM
| | Expungement |
| 10-04069 | 04/04/2011 | Claimant(s): Lety E Linn, David P and Lety E Linn
Claimant Lawyers(s): David Paul Linn
Respondent(s): Chase Investment Services Corp., Tony Wittrock
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Susan M. Thevenet
Hearing Site: Denver, CO
| | $0 |
