| 11-04150 | 09/19/2012 | Claimant(s): Frederick Blanchard
Claimant Lawyers(s): John T. Martin
Respondent(s): Bostonia Global Securities
Respondent Lawyers(s): Joseph P. Lombardo
Arbitrator(s): Chesley Oriel, Dennis M. Cronin, Susan E. Maloney
Hearing Site: Boston, MA
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| 12-00553 | 09/19/2012 | Claimant(s): Charlene Carter, Jennifer Hector
Claimant Lawyers(s): G. Thomas Fleming III, Kasumi Takahashi
Respondent(s): Blake Fry
Respondent Lawyers(s): Blake A. Fry
Arbitrator(s): O. Meredith Wilson
Hearing Site: Portland, OR
| | Expungement |
| 12-01083 | 09/19/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): MBO Insurance Brokers. PSP
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Helen Marinak Blohm, Sterling N. Frost, James R. Dickson
Hearing Site: San Francisco, CA
| | Expungement |
| 11-03145 | 09/18/2012 | Claimant(s): Michael Lena
Claimant Lawyers(s): Ryan D. Barack
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Mark E. Zelek
Arbitrator(s): Roger C. Benson, Patricia Gunn, Randall Simmons Smith
Hearing Site: Tampa, FL
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| 11-01491 | 09/14/2012 | Claimant(s): Mark Dickman
Claimant Lawyers(s): Cindy Peters
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Lisa Shusterman, Debora A. Caley, Jeff VanWay
Hearing Site: Cincinnati, OH
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| 11-02681 | 09/14/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): William French III
Respondent Lawyers(s): William Henry French III
Arbitrator(s): Alex H. Keller
Hearing Site: Charleston, WV
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| 12-01261 | 09/14/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Kent Chung
Respondent Lawyers(s): Michael A. Gould
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 11-02340 | 09/13/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Michael Rooms
Respondent Lawyers(s): Michael Antoine Rooms
Arbitrator(s): Martin Mandel, Samuel E. Wing
Hearing Site: Denver, CO
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| 11-04799 | 09/13/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): William Roberts
Respondent Lawyers(s): William Bryant Roberts
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
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| 10-05360 | 09/12/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bernard (Bob) L. Loring, Charles Hoffman, Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
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