| 12-03018 | 04/16/2013 | Claimant(s): Rockwell Global Capital LLC
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Dennis Hanrahan
Respondent Lawyers(s): Dennis Christopher Hanrahan
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
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| 12-03141 | 04/16/2013 | Claimant(s): James Zastrow, UBS Financial Services Inc.
Claimant Lawyers(s): Payne L. Templeton
Respondent(s): Mirzi T. Maras Revocable Trust
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Robert W. Edler, Theodore W. Wrobleski, Michael Stephen Knight
Hearing Site: Chicago, IL
| | Expungement |
| 12-00957 | 04/12/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Ellen McDonough, Paul McDonough
Respondent Lawyers(s): Ellen McDonough, Paul J. McDonough
Arbitrator(s): James F. Carlson, Donald W. McKenzie, Allan Robert Ettinger
Hearing Site: Chicago, IL
| | Expungement |
| 12-02095 | 04/12/2013 | Claimant(s): Mark Robbins
Claimant Lawyers(s): Mark Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Christopher S. Griesmeyer
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
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| 11-03898 | 04/11/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): A. J. Borrelli
Respondent(s): James Meis
Respondent Lawyers(s): Thomas J. Momjian
Arbitrator(s): Benjamin F. Richards, David M. Panko, Lawrence J. Roth
Hearing Site: Philadelphia, PA
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| 09-00526 | 04/10/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Bert Gilbert
Respondent Lawyers(s): Bert J. Gilbert
Arbitrator(s): Stephen M. Acerra, Maxwell J. Mahoney, Dennis R. Surprenant
Hearing Site: Boston, MA
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| 10-03969 | 04/10/2013 | Claimant(s): Skip Massengill
Claimant Lawyers(s): George Bochetto
Respondent(s): Commerce Capital Markets., TD Wealth Management Services Inc.
Respondent Lawyers(s): Risa B. Boerner
Arbitrator(s): Carol H. Gold, E. William Pastor, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
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| 12-01767 | 04/10/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Ira N. Glauber
Respondent(s): Julie Sheppard
Respondent Lawyers(s): Julie Lynn Sheppard
Arbitrator(s): Bernard A. Becker
Hearing Site: Miami, FL
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| 11-01070 | 04/08/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Shoffner
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Samuel E. Wing, Marilyn R. Lewis, Melissa Kay Kondziolka
Hearing Site: Denver, CO
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| 11-04736 | 04/05/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Kaream White
Respondent Lawyers(s): Kaream Hassan White
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
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