| 17-01676 | 03/30/2018 | Claimant(s): Scott Smith, Howard E. Smith, Jr. IRA, Jr. Trust U/A dtd 1993
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): John Findling, Raymond James Financial Services.
Respondent Lawyers(s): Adam Wenner
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
|  | $0 |
| 16-01483 | 11/21/2016 | Claimant(s): Al Vaughan, Jr. IRA
Claimant Lawyers(s): David Miller
Respondent(s): LPL Financial LLC, Uvest Financial Services Group.
Respondent Lawyers(s): Amy Worrell Sterling
Arbitrator(s): John P. Cullem
Hearing Site: Nashville, TN
| | Expungement |
| 13-00984 | 12/13/2013 | Claimant(s): Caron Gallier, Deborah Harrison, Kathy Temple, Vernon Gallier, Caron Gallier IRA, Deborah Harrison IRA, Kathy Temple IRA, Jr. IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Lincoln Financial Securities Corporation, Woodbury Financial Services.
Respondent Lawyers(s): Ami Shah, Jason A. Richardson
Arbitrator(s): David G. Beerbower, Robert Charles Morrison, Julie Marie Miller
Hearing Site: Houston, TX
| | $0 |
| 12-01548 | 11/16/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Daniel J. Lancaster, Jr. IRA
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Helen Marinak Blohm, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 08-00738 | 04/23/2009 | Claimant(s): Bruno Schmidt, Carol Schmidt, Lawrence Casey, Noel Vitug, Rose Vitug, Lawrence Donald Casey IRA, Jr. IRA, Bruno Schmidt & Carol Anne Schmidt
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): Adolf Kohn, Charles Helfrich, Irene Gerold, John Winnick, I.C.R. Financial Center
Respondent Lawyers(s): Adolf F. Kohn, Adolf Kohn, Charles J. Helfrich, Irene Maria Gerold, John F. Winnick
Arbitrator(s): Mandel E. Himelstein, Mary Elizabeth Geerdes, James B. Guillou
Hearing Site: San Diego, CA
| | $423,740 |
