| 11-04589 | 07/29/2014 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): John D. Giansello
Respondent(s): Craig Forster
Respondent Lawyers(s): Ruthann Granito Niosi
Arbitrator(s): John Daly
Hearing Site: New York, NY
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| 12-02802 | 07/28/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): John McLean
Respondent Lawyers(s): John A. McLean
Arbitrator(s): Clarence Jordan Ball, Donita M. King, JoAnne Lewis Nolte
Hearing Site: Richmond, VA
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| 12-01966 | 07/25/2014 | Claimant(s): Wayne Johnson
Claimant Lawyers(s): Philip A. Tracy
Respondent(s): Daniel Joyce, Robert Morey, Vernon Gibson, Moors & Cabot.
Respondent Lawyers(s): David L. Ward
Arbitrator(s): John B. Kinsellagh, Michael L. Letendre, John J. Kenny
Hearing Site: Boston, MA
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| 12-03257 | 07/25/2014 | Claimant(s): Julie Castillo
Claimant Lawyers(s): Randall C. Place
Respondent(s): LPL Financial LLC, Jeffrey Callan
Respondent Lawyers(s): Craig R. Glasser, Kip A. Nesmith
Arbitrator(s): Monica I. Salis, Jay L. Valinsky, Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 13-01639 | 07/24/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Gary Redden
Respondent Lawyers(s): Benjamin Alexander
Arbitrator(s): Jack Chapline Vaughan
Hearing Site: New Orleans, LA
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| 12-01787 | 07/22/2014 | Claimant(s): April Ylvisaker
Claimant Lawyers(s): Gary Menzer
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): Valerie Ann Roche, June Y. Kilmarx, William Norton
Hearing Site: Augusta, ME
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| 13-02344 | 07/22/2014 | Claimant(s): Walter Prochorenko
Claimant Lawyers(s): Michael Farhi
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Susan L. Nardone
Arbitrator(s): Ernest Edward Badway, Linda J. Baer, Paul Allan Massaro
Hearing Site: Newark, NJ
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| 12-02202 | 07/21/2014 | Claimant(s): Annette Liebergesell, Bernd Liebergesell, Daniel White, Donald Bill, Gloria Bill, Dan White Revocable Living Trust, The Bill Family Trust dtd Nov. 05, 2003
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Dennis Pettinelli, Signator Investors., Wells Investment Securities.
Respondent Lawyers(s): Gregory T. Fayard, Marc V. Allaria, Richard B. Hopkins
Arbitrator(s): Richard L. Rubin, Pamela S. Mann, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 12-03308 | 07/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Justin McBride
Respondent Lawyers(s): James B. Koch
Arbitrator(s): Gerald Cohen, Christopher J. Janson, John R. Loss
Hearing Site: St. Louis, MO
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| 13-02788 | 07/21/2014 | Claimant(s): Mark White
Claimant Lawyers(s): Stacey M. Garrett
Respondent(s): Elisabeta Taborelli
Respondent Lawyers(s): Elisabeta Taborelli
Arbitrator(s): Alan Stamm, John B. La Rue, Robert Elman
Hearing Site: Los Angeles, CA
| | Expungement |
