| 17-00360 | 08/13/2018 | Claimant(s): Mary Shea, Patrick Shea
Claimant Lawyers(s): Adam Gana
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): Compliance Officer
Arbitrator(s): Tracy L. Allen, Michael S. Jordan, David E. Jarvis
Hearing Site: Milwaukee, WI
|  | $4,978,000 |
| 07-03217 | 08/19/2016 | Claimant(s): Bryan Shand, Bryan Shand Pension Fund, Dunnedin Estates Overseas Ltd, Dunnedin Ltd, Khaleej Investments Ltd
Claimant Lawyers(s): Adam M. Thompson
Respondent(s): Mckyle Clyburn, Ross Mandell, Sky Capital LLC, The Thornwater Company, L.P.
Respondent Lawyers(s): Compliance Officer, Mcklye Clyburn, Robert John Grabowski, Ross Mandell
Arbitrator(s): John J. Phelan, James J. Fishman, Edna Rubin Sussman
Hearing Site: New York, NY
| | $1,312,000 |
| 13-03448 | 04/13/2015 | Claimant(s): Darren Josephson, Richard Almond, Trent Yost
Claimant Lawyers(s): James K. Barbee
Respondent(s): Amy Allen, Arlo Luke, Bernard Judge, Brent Lee, Bruce Newbold, Catherine Judge, Clair Bowen, Claire Hill, CoyAnn Tilton, Debra Adams, Ernest Hedstrom, Gary Summers, Hal Adams, Jared Allen, Jerry Wixom, John Hoopes, Kevin Webster, Norma Galazin, Parke Josephson, Patsy Bagley Brunson, et al
Respondent Lawyers(s): Amy C. Allen, Arlo Luke, Bernard Judge, Betty Ritter, Bruce L. Newbold, Catherine Judge, Clair D. Bowen, Claire Ann Hill, Compliance Officer, Coyann Tilton, Dan Bowen, Debra Adams, Ernest Udell Hedstrom, Gary Summers, Hal Adams, Hal and Debra Adams, Hans & Petrea Hibber, Jared W. Allen, Jerry Wixom, John C. Hoopes, et al
Arbitrator(s): Keith C. Folkman
Hearing Site: Boise, ID
| | Expungement |
| 12-03925 | 03/25/2014 | Claimant(s): Steven Savary
Claimant Lawyers(s): Jeffrey R. Youngman
Respondent(s): Wells Fargo Advisors, Jamie Meehan, William O'Connor, Meehan Financial Group, Wells Fargo & Company
Respondent Lawyers(s): Compliance Officer, Judy Louie
Arbitrator(s): Robert P. Porter
Hearing Site: Charlotte, NC
| | Expungement |
| 11-04582 | 12/18/2013 | Claimant(s): Steven Oberdorfer
Claimant Lawyers(s): Aaron M. Goldsmith
Respondent(s): Ronald Moschetta, Strasbourger Pearson Tulcin Wolff Inc., Todd And Company.
Respondent Lawyers(s): Compliance Officer, Ronald Moschetta
Arbitrator(s): John Daly, Amy Y. Moy, David John Reilly
Hearing Site: New York, NY
| | $100,000 |
| 11-02065 | 09/04/2012 | Claimant(s): William Brown
Claimant Lawyers(s): William E. Brown
Respondent(s): Dave Osborn, TD Ameritrade., Ken Sitnick, Watts Ha, RNC Center Capital Management
Respondent Lawyers(s): Compliance Officer, Dave Osborn, Hollie S. Mason
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $213 |
| 10-03471 | 12/22/2011 | Claimant(s): The Circle Trust UAD, Joan Lane TTEE
Claimant Lawyers(s): Hartley T. Bernstein
Respondent(s): Donna Leone, Laura Sloate, Neuberger Berman LLC, SWM Securities., Sloate, Weisman, Murray & Company.
Respondent Lawyers(s): Compliance Officer, Donna M. Leone, Victor A. Machcinski
Arbitrator(s): Harvey Barrison, Lisa Catalano, Robert S. Clemente
Hearing Site: New York, NY
| | Expungement |
| 10-03334 | 10/12/2011 | Claimant(s): Alphonse Lucchese
Claimant Lawyers(s): Robert F. Dionisi
Respondent(s): Alfred Weaver, Citigroup Global Markets., Robert Malenfant, Citi Smith Barney
Respondent Lawyers(s): Compliance Officer, T. Peter R. Pound
Arbitrator(s): William I. Carmen
Hearing Site: Boston, MA
| | $0 |
| 09-00294 | 08/06/2010 | Claimant(s): Jason Schecter, Lissa Fial, Lynn Schecter
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Chucks Roberts, Citigroup Global Markets., Stephen Condos, The Condos and Roberts Group
Respondent Lawyers(s): Compliance Officer, Jeffrey L. Friedman, William A. Hohauser
Arbitrator(s): Richard S. Peskin, Cynthia A. DiMarco, Martin H. Zern
Hearing Site: New York, NY
| | Expungement |
| 09-01863 | 07/01/2010 | Claimant(s): Joseph Amundsen
Claimant Lawyers(s): Joseph S. Amundsen
Respondent(s): Aaron Gilbert, Daniel Overmyer, Edward Overmyer, Jamie Cawley, Jesse Bookheim, COPS Worldwide., IDX Derivatives, Morton International Corporation
Respondent Lawyers(s): Aaron Gilbert, Compliance Officer, Daniel Overmyer, Edward Overmyer, George Brunelle, Jesse Louis Bookheim
Arbitrator(s): Ernest Fanwick, Joan M. Traub, Paul R. Walsh
Hearing Site: New York, NY
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