| 12-02391 | 11/09/2012 | Claimant(s): Morgan Stanley, Morgnn Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Ernie Ianace
Respondent Lawyers(s): Ernie Peter Ianace
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
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| 11-02273 | 11/08/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Charles Cooper
Respondent Lawyers(s): Nelson S. Ebaugh
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
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| 11-02388 | 11/08/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): David W. Schmidt
Respondent(s): Christopher Babcock
Respondent Lawyers(s): Christopher Babcock
Arbitrator(s): E. William Pastor
Hearing Site: Philadelphia, PA
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| 11-04101 | 11/08/2012 | Claimant(s): ING Financial Partners., ING Life Insurance and Annuity Company
Claimant Lawyers(s): Steven E Mellen
Respondent(s): Jeanie O'Daniel
Respondent Lawyers(s): Stephen G. Amato
Arbitrator(s): Barbara Black, Coleman Robert Perry, Linda W. Hester
Hearing Site: Louisville, KY
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| 11-04621 | 11/08/2012 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): George Popov
Respondent Lawyers(s): L. Jerome Stanley
Arbitrator(s): Raymond C. Kerr
Hearing Site: New Orleans, LA
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| 12-01549 | 11/08/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Charles S. Hoyt, IRA, SEP-IRA, Charles S. Hoyt & Nancy S. Hoyt
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Laurel Littman Gothelf, Jerold R. Babin, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01555 | 11/08/2012 | Claimant(s): GunnAllen Financial
Claimant Lawyers(s): William J. Schifino
Respondent(s): Alfred Cali
Respondent Lawyers(s): Alfred Guy Cali
Arbitrator(s): Charles W. Lavender
Hearing Site: Tampa, FL
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| 12-00775 | 11/07/2012 | Claimant(s): Alireza Shayan
Claimant Lawyers(s): Alireza Shayan
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Richard B. Davis
Arbitrator(s): Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
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| 10-02107 | 11/06/2012 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Zamir Siddiqi
Respondent Lawyers(s): Richard D. Burstein
Arbitrator(s): Robert J. Ruben, Anita Rae Shapiro, Stephen Gary Holmes
Hearing Site: Los Angeles, CA
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| 12-00493 | 11/05/2012 | Claimant(s): Anthony Palazzo, Michael Eddy
Claimant Lawyers(s): Robert D. Terry
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): John W. Mitchell
Arbitrator(s): Donald M. Macdonald
Hearing Site: Atlanta, GA
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