| 10-00813 | 12/06/2012 | Claimant(s): Aaron Segal, David Landskowsky, Eric Rubenstein, Scott Cardone, Timothy Herrmann, Todd Harrigan
Claimant Lawyers(s): Richard Roth, Ross Carmell
Respondent(s): Byron Crowe, Dwight Badger, Keith Daubenspeck, Advanced Equities.
Respondent Lawyers(s): Howard Elisofon
Arbitrator(s): Stewart E. Winner, Susan Y. Chin, W. Alexander Melbardis
Hearing Site: New York, NY
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| 12-01077 | 12/06/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Stanley Wong
Respondent Lawyers(s): Stanley Wong
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
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| 11-01910 | 12/05/2012 | Claimant(s): Dana Levenson
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Peter Ordower, Ann Breen-Greco, Brian E. Slotky
Hearing Site: Chicago, IL
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| 11-03665 | 12/04/2012 | Claimant(s): Bulltick
Claimant Lawyers(s): Hal M. Lucas
Respondent(s): Ramses Villela
Respondent Lawyers(s): Ramses Villela
Arbitrator(s): Nancy J. Cliff
Hearing Site: Miami, FL
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| 11-03847 | 12/03/2012 | Claimant(s): Casey Securities
Claimant Lawyers(s): Michael P. Guta
Respondent(s): Gloria Casey, Richard Casey, Casey Family Trust, 1996
Respondent Lawyers(s): Alvin L. Fishman
Arbitrator(s): Mary Curran, William J. Petzel, Ronald Chun
Hearing Site: San Francisco, CA
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| 10-05197 | 11/30/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Patrick Kohls
Respondent Lawyers(s): Kyle W. Wilcox
Arbitrator(s): Alan Stamm
Hearing Site: Albuquerque, NM
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| 11-04402 | 11/30/2012 | Claimant(s): John Vaughan
Claimant Lawyers(s): John J. Vaughan
Respondent(s): Paul Taboada, Charles Morgan Securities.
Respondent Lawyers(s): Richard Friedman
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
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| 12-01220 | 11/30/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brian L. Church
Respondent(s): Robert McMillan
Respondent Lawyers(s): Robert L. McMillan
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
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| 12-01561 | 11/30/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Vincent Ricciardi
Respondent Lawyers(s): Vincent Ricciardi
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
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| 12-01836 | 11/30/2012 | Claimant(s): Chase Investment Services Corp., Mikhail Cherny, Sean Knowles
Claimant Lawyers(s): Jill Y. Coen
Respondent(s): Bernard Distefano
Respondent Lawyers(s): Mitchell Markowitz
Arbitrator(s): Michael H. DuBoff
Hearing Site: New York, NY
| | Expungement |
