| 12-00103 | 11/16/2012 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Emmett Johnson
Respondent Lawyers(s): Frank "Kim" Breese, III
Arbitrator(s): Bertrand C. Moser, Charles E. Munson, Leslie Bernard Jallans
Hearing Site: Houston, TX
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| 12-00350 | 11/16/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Alvern Vom Steeg
Respondent Lawyers(s): Alvern Henry Vom Steeg
Arbitrator(s): Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
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| 12-01548 | 11/16/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Daniel J. Lancaster, Jr. IRA
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Helen Marinak Blohm, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01834 | 11/16/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Steven Castro
Respondent Lawyers(s): Steven Brian Castro
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
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| 12-01870 | 11/16/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq., Melissa A. Bevilacqua
Respondent(s): Victor Rivera
Respondent Lawyers(s): Victor Manuel Rivera
Arbitrator(s): Charles A. Crocco
Hearing Site: Newark, NJ
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| 12-02540 | 11/16/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Zhe Li
Respondent Lawyers(s): Zhe Li
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
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| 11-02488 | 11/15/2012 | Claimant(s): John Boukamp
Claimant Lawyers(s): Marc E. Thomas
Respondent(s): Ted Wasson
Respondent Lawyers(s): Ted D. Wasson
Arbitrator(s): Stephen D. Arkwright, Thomas Anthony Van Tiem, Richard Joseph Rankin
Hearing Site: Detroit, MI
| | Expungement |
| 11-03630 | 11/15/2012 | Claimant(s): Philippe Allain
Claimant Lawyers(s): Rishi Bhandari
Respondent(s): Marcus Bolton, Tullett Prebon Financial Services LLC
Respondent Lawyers(s): Lisa Lewis
Arbitrator(s): Thomas Caiaffa, Edith M. Novack, Margaret Leggett Tarver
Hearing Site: Newark, NJ
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| 12-00205 | 11/15/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Brigden
Respondent Lawyers(s): William Scanlan Brigden
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
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| 10-04970 | 11/14/2012 | Claimant(s): Ray Gatten
Claimant Lawyers(s): John G. Rich
Respondent(s): John Sadowski, Gatten Sadowski Inc.
Respondent Lawyers(s): David A. Shargel
Arbitrator(s): Donald J. Zoeller, Glen R. Stifelman, John F. Duane
Hearing Site: New York, NY
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