| 11-00677 | 05/17/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Zak Shapiro
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): John E. Ohashi, W. Alex King, Erich Daniel Schiefelbine
Hearing Site: Los Angeles, CA
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| 12-01803 | 05/17/2013 | Claimant(s): Douglas Cornett
Claimant Lawyers(s): Jonathan Sack
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Sam Antar, Betty Chen, John K. Evans
Hearing Site: New York, NY
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| 11-04468 | 05/16/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Michael Malvin
Respondent Lawyers(s): Michael Adam Malvin
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
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| 12-03124 | 05/16/2013 | Claimant(s): Sean Fetterman
Claimant Lawyers(s): Jonathan C Schwartz
Respondent(s): Ben Pivnick, Ben Pivnick as trustee Revocable Living
Respondent Lawyers(s): Ben Pivnick
Arbitrator(s): Mary H. Cory, Marie G. Peterson, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-04086 | 05/16/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Rahn
Respondent Lawyers(s): James A. McPhee
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
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| 12-00057 | 05/15/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Frank Fava
Respondent Lawyers(s): Frank Jerry Fava
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
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| 12-03010 | 05/15/2013 | Claimant(s): Edo Smidtsrod
Claimant Lawyers(s): Edo Smidtsrod
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Ali Sabetghadam
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 12-03581 | 05/15/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Richard Rosen
Respondent Lawyers(s): Richard Lawrence Rosen
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
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| 09-05355 | 05/14/2013 | Claimant(s): Claire Gruppo, Hugh Levey, Gruppo, Levey & Co.
Claimant Lawyers(s): Lawrence Hirsh
Respondent(s): Marino Marin
Respondent Lawyers(s): Eric R. Stern
Arbitrator(s): Fred Shinagel, Richard B. Dannenberg, Andrew J. Gerber
Hearing Site: New York, NY
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| 12-00609 | 05/14/2013 | Claimant(s): Eric Sigdestad, Shane Hertel
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Jo-Ann C. Little, Jon C. Milliken
Hearing Site: San Diego, CA
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