| 13-02836 | 11/06/2014 | Claimant(s): Mary Curattalo, Sal Curattalo
Claimant Lawyers(s): David Liebrader
Respondent(s): Royal Alliance Associates., Mark Intino
Respondent Lawyers(s): Alan L. Sachs, Jay Simpson
Arbitrator(s): Robert A. Lombardi, William R. Rafti, Philip H. Marmurowski
Hearing Site: Las Vegas, NV
|  | $45,000 |
| 14-00985 | 10/14/2014 | Claimant(s): optionsXpress.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kuba Jewgieniew, Clear Lake Business Services LLC, Clear Lake Company Limited Partnership
Respondent Lawyers(s): Brian VanCleave
Arbitrator(s): June McLaughlin, Michael D. Harrison, Erich Daniel Schiefelbine
Hearing Site: Las Vegas, NV
| | $0 |
| 12-01936 | 09/24/2014 | Claimant(s): Benjamin Bruk IRA, The Bruk Family Living Trust dtd 3/10/06
Claimant Lawyers(s): Brandon L. Phillips, Telia U. Williams
Respondent(s): Kathleen Bellucci, Merrimac Corporate Securities.
Respondent Lawyers(s): Kathleen Bellucci, Stephen D. Pizzuti
Arbitrator(s): Steven A. Budin, Richard R. Edmister, Brent J. Rosenbaum
Hearing Site: Las Vegas, NV
| | $0 |
| 13-01039 | 08/28/2014 | Claimant(s): Norman Frey, Rambling River Ranches.
Claimant Lawyers(s): Bradd L. Milove, Jacob Pyle
Respondent(s): Sagepoint Financial., Robert Achurra, AIG Financial Advisors.
Respondent Lawyers(s): Jesse B. Simpson
Arbitrator(s): David J. Anderson, Linda Jane Jones, Richard R. Edmister
Hearing Site: Las Vegas, NV
| | $731,000 |
| 11-02245 | 04/25/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Blake L. Daniels
Respondent(s): Steven Grundstedt
Respondent Lawyers(s): Bart K. Larsen
Arbitrator(s): Mark S. Priver, Harvey M. Baraban, William C. Turner
Hearing Site: Las Vegas, NV
| | |
| 12-04001 | 02/27/2014 | Claimant(s): Stanley Poling
Claimant Lawyers(s): Stanley Bruce Poling
Respondent(s): Gregory Kinkead, Centaurus Financial., Kinkead Wealth Management
Respondent Lawyers(s): Adam Bloom, Samuel Edgerton
Arbitrator(s): Thomas E. Shuck
Hearing Site: Las Vegas, NV
| | $0 |
| 12-03472 | 02/19/2014 | Claimant(s): John Triplett
Claimant Lawyers(s): Judith Braecklein
Respondent(s): Wells Fargo Advisors, David Hehn, Paul Alberini, Todd Williams
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Vaughn Thomas Hale, Gerald F. Corrigan, Edward Thomas Leech
Hearing Site: Las Vegas, NV
| | |
| 12-03584 | 02/03/2014 | Claimant(s): Todd Parriott Trust U/T/D 10-11-2005
Claimant Lawyers(s): M. Nelson Segel
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Douglas Edwards, Kelly K. Herren, Richard R. Edmister
Hearing Site: Las Vegas, NV
| | Expungement |
| 13-01539 | 01/29/2014 | Claimant(s): Jang Kongthong
Claimant Lawyers(s): Jang Kongthong
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Roberta Haft
Hearing Site: Las Vegas, NV
| | $0 |
| 10-01754 | 12/19/2013 | Claimant(s): Rita Cervoni, Vincent Cervoni
Claimant Lawyers(s): Howard Roitman
Respondent(s): Billy Wisdom, Wachovia Securities, Kevin Healy, William Brancato
Respondent Lawyers(s): Beth A. Black
Arbitrator(s): Laurel Littman Gothelf, George Frederick Garris, Royetta M. Jones
Hearing Site: Las Vegas, NV
| | Expungement |
