| 18-00483 | 01/17/2019 | Claimant(s): Andrew Perri
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 18-00261 | 10/31/2018 | Claimant(s): John Tyczynski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gleacher & Company Securities., Legg Mason Wood Walker
Respondent Lawyers(s): Annis Kwok, Rosemary Francavilla
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY
| | |
| 18-00700 | 10/31/2018 | Claimant(s): Kenneth Sorge
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American Beacon Partners.
Respondent Lawyers(s): Douglas A. Pavek
Arbitrator(s): Tracy L. Allen
Hearing Site: Milwaukee, WI
| | |
| 18-02074 | 10/29/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Miles D. Hart
Respondent(s): John Leonard
Respondent Lawyers(s): John Bradford Leonard
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 17-03354 | 10/24/2018 | Claimant(s): James Schrader
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
| | |
| 18-00401 | 09/10/2018 | Claimant(s): Bruce Ballard
Claimant Lawyers(s): Michael Bessette
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Todd A. Holeman
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 16-02696 | 09/10/2018 | Claimant(s): Jane Steinman, Jane E Steinman IRA, Ruth Steinman Granddaughter IRR Trust, Ruth Steinman Granddaughter's Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Kevin Lee
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
|  | $103,986 |
| 16-03491 | 08/29/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Travis Chapin
Respondent(s): Michael Mawby
Respondent Lawyers(s): Steve Wasserman
Arbitrator(s): Tracy L. Allen, Stephen M. Bales, David Rosenblum Cohen
Hearing Site: Cleveland, OH
| | |
| 17-03421 | 08/27/2018 | Claimant(s): Brian Behl
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Tracy L. Allen
Hearing Site: Milwaukee, WI
| | |
| 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 |
