| 14-03506 | 06/27/2017 | Claimant(s): Barbara Dean
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Leah A. Murray, Michael L. Lyons, A.J. Seier
Hearing Site: St. Louis, MO
|  | $0 |
| 14-03343 | 06/07/2017 | Claimant(s): Zenaida Gantan
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Apex Clearing Corporation, Freedom Investors Corp., Merrimac Corporate Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Jonathan D. Neerman, Mark Thomes
Arbitrator(s): Robert E. Thompson, Donald S. Green, Stephen A. Field
Hearing Site: San Francisco, CA
| | $295,513 |
| 15-00333 | 12/13/2016 | Claimant(s): Beverly Bien, David Wellman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Mid Atlantic Capital Corporation
Respondent Lawyers(s): Erin N. Fischer
Arbitrator(s): Thaddeus J. Tecza, Mari C. Bush, Jo-Marie Lisa
Hearing Site: Denver, CO
| | $922,470 |
| 14-03641 | 11/09/2016 | Claimant(s): Joseph Guglielmo, JFG Music, King Edward Baltimore, Leland Hotel Development
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melissa M. Muehfeld
Arbitrator(s): Mary M. O'Neil, Michael John Florio, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-01451 | 10/14/2016 | Claimant(s): Thomas Considine
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Liberty Partners Financial Services
Respondent Lawyers(s): Jeffrey A. Fanning
Arbitrator(s): Judith Ann Estabrook Shepard, Joseph V. Simeri, Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
| | $57,283 |
| 15-01392 | 09/26/2016 | Claimant(s): Michael Wolf
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Source Capital Group.
Respondent Lawyers(s): Richard Slavin
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Pittsburgh, PA
| | $225 |
| 15-01499 | 08/31/2016 | Claimant(s): Deborah Howland, Leon Howland
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Lynn Hirschfeld Brahin, Raymond P. Buschmann, William Gibson Heller
Hearing Site: Indianapolis, IN
| | $0 |
| 14-02673 | 06/29/2016 | Claimant(s): Terry D. Johnstone, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Norman S. Nayfach, Nancy A. Yonge, Arocles Aguilar
Hearing Site: Reno, NV
| | Expungement |
| 15-02623 | 06/03/2016 | Claimant(s): David Bartelme
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Packerland Brokerage Services.
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Gary L. Grolle
Hearing Site: Milwaukee, WI
| | $0 |
| 14-03619 | 05/31/2016 | Claimant(s): William Essex
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Nina Vallion
Hearing Site: Portland, OR
| | Expungement |
