| 20-01987 | 08/25/2021 | Claimant(s): Karin Von Burg
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Joseph C. Roberts, Laurel Littman Gothelf, Gary H. Kahn
Hearing Site: San Francisco, CA
|  | $0 |
| 19-00132 | 03/19/2020 | Claimant(s): Christine Abbate, Salvatore Abbate, Christine Lynn Abbate IRA, Salvatore Charles Abbate IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Joel F. Martineau, Maurice M. Feller, Douglas Alan Wallace
Hearing Site: Tampa, FL
| | $0 |
| 18-03652 | 12/18/2019 | Claimant(s): Ivanna Freddi, Juan Freddi, Monica Kuclik, Rosario Freddi
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Richard Carl Smukler, Virginia Lee Perez, Michael B Goldstein
Hearing Site: Miami, FL
| | $0 |
| 18-03865 | 04/05/2019 | Claimant(s): Sonya Khaleel
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Maggie Goetze
Arbitrator(s): Jack Martin Coe
Hearing Site: Miami, FL
| | $50,600 |
| 17-00246 | 02/14/2019 | Claimant(s): Walter Ryan
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): William M. Howard, Sheila Grinell, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | Expungement |
| 17-00487 | 11/29/2018 | Claimant(s): Joyce Livengood, Norman Livengood IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Harry G. Mason
Hearing Site: Raleigh, NC
| | $0 |
| 17-01188 | 05/15/2018 | Claimant(s): Peggy Batson, The Estate of Evelyn C. Batson, Peggy L. Batson on behalf of her IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Brian James Tagtmeier, Chermaine Nkomo, Daniel L. Fulkerson
Hearing Site: Houston, TX
| | $35,000 |
| 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 |
| 16-02915 | 03/07/2017 | Claimant(s): James Struble
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
| | $29,284 |
| 16-02524 | 01/13/2017 | Claimant(s): Darlene Platt
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black
Arbitrator(s): Daniel P. Lund
Hearing Site: Boca Raton, FL
| | $15,082 |
