| 12-00421 | 12/18/2012 | Claimant(s): Baerbel O'Haire, Joseph Fessler
Claimant Lawyers(s): Robert C. Harris
Respondent(s): James Gray, Kaye Gray
Respondent Lawyers(s): James Brian Gray, Kaye M. Gray
Arbitrator(s): Frances D. Sheehy, Kathy N. Novick, Sherry Puro
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-01992 | 12/17/2012 | Claimant(s): Thomas Meagher
Claimant Lawyers(s): James L. Parks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): David J. Reis
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | |
| 10-00378 | 12/14/2012 | Claimant(s): Thomas Campbell
Claimant Lawyers(s): Vincent Imbesi
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Timothy J. Currier, Mark Scarr, James George Timpa
Hearing Site: Detroit, MI
| | |
| 10-01812 | 12/14/2012 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): John K. Wells
Respondent(s): Hemant Singh
Respondent Lawyers(s): Philip L. Guarino
Arbitrator(s): Henry Tiffany, Sandra Gale Behrle, Alfred H. Kingon
Hearing Site: New York, NY
| | |
| 11-03318 | 12/14/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): Gabrell Chambers
Respondent Lawyers(s): Gabrell Christian Chambers
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
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| 11-04572 | 12/14/2012 | Claimant(s): Peter Suyama
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Glenn M. Salvo
Arbitrator(s): Nickey D. Turner, Jane C. Carney, Charles A. Zuckerman
Hearing Site: Washington, DC
| | |
| 12-02206 | 12/14/2012 | Claimant(s): Morgan Stanley, Robert Lynch
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Edward Swyer
Respondent Lawyers(s): Luke Nikas
Arbitrator(s): Jacqueline W. Marshall, Jennifer L. Bliss
Hearing Site: Albany, NY
| | Expungement |
| 09-04558 | 12/13/2012 | Claimant(s): LH Ross & Company.
Claimant Lawyers(s): Mark A. Berman
Respondent(s): Andrew Holtmeyer, Edward Goetz
Respondent Lawyers(s): Andrew Walter Holtmeyer, Edward William Goetz
Arbitrator(s): Michael T. Curley, David S. Billet, William G. Binckes
Hearing Site: New York, NY
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| 11-00591 | 12/13/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): Whitney Kenter
Respondent Lawyers(s): Darrell J. Graham
Arbitrator(s): Albert J. Haller, R. Phillip Reed, David J. Bokal
Hearing Site: St. Louis, MO
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| 10-00314 | 12/12/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Christopher Lane
Respondent Lawyers(s): Laura Noble
Arbitrator(s): Richard H. Potter, Michael J. Ahlstrom, Michael Lloyd Weisel
Hearing Site: Raleigh, NC
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