| 16-02629 | 03/22/2018 | Claimant(s): National Financial Services LLC
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): Frank Aguilar, Jason Garofalo, Tricor Financial
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Anthony D. DeToro, Dean C. Abraham, Mark S. Priver
Hearing Site: Las Vegas, NV
| | |
| 16-00812 | 01/25/2018 | Claimant(s): Petra Latch, Criterion Group Inc.fka The Randal Compa, Peve, Peve Defined Benefit Pension Plan, Randall Company Defined Benefit Pension
Claimant Lawyers(s): David Mincin
Respondent(s): Christine Soscia, Steven BeattyL Independent Advisor Services Group,
Respondent Lawyers(s): David Freniere, Jay Young
Arbitrator(s): Benjamin F. Breslauer, Robert E. Jenks, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
|  | Expungement |
| 17-01621 | 01/16/2018 | Claimant(s): Joy Rosen, Joy Rosen IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff Esq.
Arbitrator(s): Barry A. Fisher
Hearing Site: Las Vegas, NV
| | $70,600 |
| 15-00086 | 01/02/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Terry E. Sanchez
Respondent(s): Michael Novick
Respondent Lawyers(s): Michael Jay Novick
Arbitrator(s): Richard Marc Weinroth, Constance Ellen Boukidis, Mary M. O'Neil
Hearing Site: Las Vegas, NV
| | |
| 17-00532 | 12/28/2017 | Claimant(s): Aaron Delsignore
Claimant Lawyers(s): Cory Braddock
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Erin Weesner-McKinley
Arbitrator(s): Michael John Florio
Hearing Site: Las Vegas, NV
| | |
| 17-01108 | 12/21/2017 | Claimant(s): William Stafford
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Woodbury Financial Services., Mony Securities Corporation
Respondent Lawyers(s): Bradley Fishman, Hector D. Geribon
Arbitrator(s): Richard J. Stall
Hearing Site: Las Vegas, NV
| | |
| 16-03488 | 11/20/2017 | Claimant(s): Jin Park
Claimant Lawyers(s): Jin Kyun Park
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Dean C. Abraham, Mary M. O'Neil, Robert Dean McKinley
Hearing Site: Las Vegas, NV
| | |
| 16-01140 | 10/24/2017 | Claimant(s): Leticia Castro, GrupoMex Holdings
Claimant Lawyers(s): Chaz R. Brown, John Rogers
Respondent(s): James Fellus, Pershing LLC, John Burke, Lawrence Sanicola, Braver Stern Securities LLC
Respondent Lawyers(s): Andrew R. Harvin, James Benjamin Fellus, Lawrence Sanicola, Thomas G. Amon
Arbitrator(s): Michael Dean, Kendall C. Reed, Michael John Florio
Hearing Site: Las Vegas, NV
| | $0 |
| 16-03314 | 10/16/2017 | Claimant(s): Jacqueline Harrigan, Jacqueline Bose Harrigan Trust
Claimant Lawyers(s): Jacqueline Bose Harrigan
Respondent(s): Ricardo Cabrera, G.F. Investment Services
Respondent Lawyers(s): Alan L. Sachs, Geoffrey A. Frazier
Arbitrator(s): A. Joel Klein, Royetta M. Jones, Augusta Massey
Hearing Site: Las Vegas, NV
| | Expungement |
| 17-00165 | 06/12/2017 | Claimant(s): Paul Michel
Claimant Lawyers(s): Paul Michel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Thomas E. Shuck
Hearing Site: Las Vegas, NV
| | $0 |
