| 13-02474 | 03/17/2016 | Claimant(s): Daniel Harkins
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Karla Y. Vogel, Debra Black Leo, Clarence H. Hampton
Hearing Site: Birmingham, AL
|  | Expungement |
| 12-02533 | 08/14/2015 | Claimant(s): Estate of Malcolm Schvey
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Mitchell S. Friedman, Sanford S. Stevens, Sandra Gale Behrle
Hearing Site: New York, NY
| | $427,060 |
| 12-02841 | 07/02/2015 | Claimant(s): John Artmire
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Arthur H. Geffen, Robert L. Yeager, Joseph Anthony Girgenti
Hearing Site: Dallas, TX
| | $818,817 |
| 12-03853 | 04/07/2015 | Claimant(s): Elba Soler
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tom C. Barnett
Arbitrator(s): Helen E. Huyler, John D. Mattingly, Rudolph Andrew Bata
Hearing Site: Atlanta, GA
| | $95,375 |
| 11-03024 | 12/08/2014 | Claimant(s): Natasha Jiovino, Route 36 East LLC
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Michael Fischetti, Micalyn S. Harris, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
| 13-00293 | 11/26/2014 | Claimant(s): Fredrick Griffin
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): William S. Glickfield, William H. Fleece, Arthur J. Zelenak
Hearing Site: Tampa, FL
| | $306,132 |
| 13-00727 | 11/19/2014 | Claimant(s): Betty Perrine, John Perrine
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Gary J. Leshaw, Deborah A. Jackson, Robert A. Dean
Hearing Site: Atlanta, GA
| | Expungement |
| 13-00808 | 10/07/2014 | Claimant(s): Vincent Vasta
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Morton S. Bunis, S. Charles Tabak, Richard C. Antonelli
Hearing Site: Newark, NJ
| | Expungement |
| 13-00019 | 07/16/2014 | Claimant(s): Michael Fertich
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Sean M. Golden
Arbitrator(s): Douglas Earl McLaren, John D. Robb, Carl F. Bowmer
Hearing Site: Richmond, VA
| | Dismissed by Rule 12206 |
| 10-05361 | 03/21/2014 | Claimant(s): Barry Goodman, Dana Goodman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Meyers Associates, L.P.
Respondent Lawyers(s): David A. Schrader
Arbitrator(s): R. Thomas Barksdale, Jeffrey M. Bain, Donna L. Pavlick
Hearing Site: Nashville, TN
| | $447,580 |
