| 23-00027 | 04/12/2024 | Claimant(s): McNaught Family Irrevocable Trust, Sharon Coan, Trustee
Claimant Lawyers(s): R. Sean McDonald
Respondent(s): Chad Carroll, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): John Kenneth Popham
Hearing Site: Dallas, TX
|  | Expungement |
| 23-00066 | 11/28/2023 | Claimant(s): Gorospe Trust, Andre Gorospe, Trustee
Claimant Lawyers(s): Richard Haas
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Mary Margaret Bush
Hearing Site: Honolulu, HI
| | Expungement |
| 19-00509 | 02/11/2022 | Claimant(s): James LeFebvre, Trustee
Claimant Lawyers(s): Bart Heemskerk
Respondent(s): Dennis LeFebvre, UBS Financial Services Inc., Michael Martin, Patrick Donnelly
Respondent Lawyers(s): Dennis L. LeFebvre, Gregory S. Sparer, Matthew B. Baum
Arbitrator(s): Kenneth R. Starr, Brian Patrick Quinn, Jerome Blevins
Hearing Site: Tampa, FL
| | $0 |
| 21-00833 | 12/02/2021 | Claimant(s): Lisa Drew, Trustee, PR, & Individually
Claimant Lawyers(s): Josh M. Rubens
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Erika Deutsch Rotbart, Erika-Rae M Harvey, Christopher William Pole
Hearing Site: Boca Raton, FL
| | settlement |
| 17-02559 | 12/24/2019 | Claimant(s): Robert Liggett, Victoria Liggett, Liggett Investments LLC, Liggett Ventures LLC, Robert G. Liggett, Jr., Custodian, Victoria L. Liggett, Trustee
Claimant Lawyers(s): Dennis J. Levasseur
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Timothy J. Currier, Barry Goldman, Betty R. Widgeon
Hearing Site: Detroit, MI
| | Settlement |
| 17-00791 | 07/01/2019 | Claimant(s): Mansoor Karamooz, Trustee
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Richard M. Norman, Edward H. Davis, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | $209,482 |
| 14-01271 | 12/10/2015 | Claimant(s): Lee Riggins, M.D., Lee Shefton Riggins, MD, Trustee, et al
Claimant Lawyers(s): Samuel M. Hill
Respondent(s): Joshua Rudder, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Steven P. Gregory, Clarence H. Hampton, Rachel Kay Russell
Hearing Site: Birmingham, AL
| | $0 |
| 11-03445 | 05/31/2013 | Claimant(s): Louis J. Alimena, Trustee
Claimant Lawyers(s): William H Champlin
Respondent(s): Michael Barron
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): David M. Levine, Martin M. Van Luven, Sidney Turner
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-01017 | 06/25/2012 | Claimant(s): 4R Partnership, by Jon Roberts, Partner, C. Marvin Trust, Trustee
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): David Schrager, Woodstock Financial Group.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): James E. Michaels, James A. Hayes, Ken L. Andersen
Hearing Site: Omaha, NE
| | $75,000 |
| 09-00078 | 08/16/2010 | Claimant(s): Marvin E. Bruce, Trustee
Claimant Lawyers(s): Caroline Smith Gidiere
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Alan F. Enslen
Arbitrator(s): Elliott David Finkel, Victor B. Taube, Patricia H. Latham
Hearing Site: Memphis, TN
| | $100,000 |
