| 11-01204 | 08/30/2012 | Claimant(s): Robert Angle, White Pacific Securities.
Claimant Lawyers(s): Michael C. Miller
Respondent(s): Patrick Nelson
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Philip W. Burge, Chester L. Firestein, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | |
| 11-02033 | 08/30/2012 | Claimant(s): Jeannette Rosales
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Santander Securities
Respondent Lawyers(s): Massiel Bermudez Rios
Arbitrator(s): Steven Gerard Goerke, David P. Slater, Daniel P. Lund
Hearing Site: San Juan, PR
| | |
| 11-02325 | 08/30/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Trimbach
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Larry D. Hayden, Charles G. Michaels, Ronald L. Lantz
Hearing Site: Denver, CO
| | |
| 11-02706 | 08/30/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kimberly Rule
Respondent Lawyers(s): Tracey Edward Gajak
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
| | |
| 12-01175 | 08/30/2012 | Claimant(s): Lacey Corbett, Robert Mason
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Fredrick Kish
Respondent Lawyers(s): Fredrick A. Kish
Arbitrator(s): David L. Maislen
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03933 | 08/29/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Edward Berry
Respondent Lawyers(s): Edward Todd Berry
Arbitrator(s): Monette E. Draper
Hearing Site: Indianapolis, IN
| | |
| 08-01743 | 08/28/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Dean Howard
Respondent Lawyers(s): Mark T. Butler
Arbitrator(s): Larry C. Kreul, John Thomas Sepp, Thomas L. Imbrunone
Hearing Site: Detroit, MI
| | |
| 11-00140 | 08/28/2012 | Claimant(s): Donald Adkins
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Michael E. Olney, Gary W. Sherbell, Walter Michael Mathews
Hearing Site: New York, NY
| | |
| 11-00621 | 08/28/2012 | Claimant(s): Deborah Schwartz
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Thomas Kim, Broadhaven Capital Partners, Pritzker Company, The UNX Companies LLC, UNX LLC
Respondent Lawyers(s): Michael E. Grenert, Todd R. Wulffson
Arbitrator(s): Montgomery G. Griffin, Anita Rae Shapiro, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | |
| 11-01739 | 08/28/2012 | Claimant(s): Robert DePalo
Claimant Lawyers(s): Andrew J. Goodman
Respondent(s): Joseph Scire, Joyce Scire
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): C. Marcus Harris
Hearing Site: Columbia, SC
| | Expungement |
