| 11-00911 | 10/23/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Barbara Horvath
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Michael G. Clark, Barton J. Brewer, David W. Dresnick
Hearing Site: Los Angeles, CA
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| 11-04100 | 10/23/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Steven P. Pherson
Respondent(s): William Perfett
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Frank C. Fogl
Hearing Site: Pittsburgh, PA
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| 11-04757 | 10/23/2012 | Claimant(s): Andrew Menachem
Claimant Lawyers(s): Laura R. Whetstone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Allison D. Patton
Arbitrator(s): David M. Levine
Hearing Site: Miami, FL
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| 10-02174 | 10/22/2012 | Claimant(s): Magnolia Capital Advisors.
Claimant Lawyers(s): William C Owen
Respondent(s): J.P. Morgan Clearing Corp., J.P. Morgan Securities
Respondent Lawyers(s): Arthur D. Felsenfeld
Arbitrator(s): Simone Sicola, Jeffrey W. Helms, Angelo J. Infantino
Hearing Site: Jacksonville, FL
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| 10-04568 | 10/22/2012 | Claimant(s): Clay Border
Claimant Lawyers(s): John T. McDowell
Respondent(s): Pritchard Capital Partners
Respondent Lawyers(s): Todd Giustiniano
Arbitrator(s): David G. Beerbower, Eric R. Benton, Irving Sylvester Moses
Hearing Site: Houston, TX
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| 11-04096 | 10/22/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Brent Hardy
Respondent Lawyers(s): Brent Odell Hardy
Arbitrator(s): Stephen P. Hoffman, Richard Peabody Preston, Dana R. Krajack
Hearing Site: Columbia, SC
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| 09-02092 | 10/19/2012 | Claimant(s): BOSC.
Claimant Lawyers(s): Erica Anne Dorwart
Respondent(s): Barry Kellerman
Respondent Lawyers(s): Barry Kellerman
Arbitrator(s): John Fox Arnold, Dennis Jay Capriglione, Raymond Przybylowski
Hearing Site: Little Rock, AR
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| 11-00501 | 10/19/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Nicoli Grove
Respondent Lawyers(s): Kathleen A. DeLaney
Arbitrator(s): Joseph L. Claypool, Emily J. Lewis, John Andrew Wagner
Hearing Site: Indianapolis, IN
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| 12-01677 | 10/19/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Don Miller, Donald C. Miller Cust IRA Rollover, Donald C. Miller Cust Roth Contrib, IRA
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): James N. D'Orso, Jerold R. Babin, Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01738 | 10/19/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Harry Davis
Respondent Lawyers(s): Patrick J. Dolan
Arbitrator(s): Kelly M. Lonergan
Hearing Site: Boston, MA
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