| 11-04267 | 08/28/2012 | Claimant(s): Anthony Llanes
Claimant Lawyers(s): Anthony Llanes
Respondent(s): Anthony Lodati, Brett Zinner, John Conroy, Kevin Brennan, Benson York Group., Brookville Capital Partners, New Castle Financial Group Inc.
Respondent Lawyers(s): Bradford A. Miller, Brett D. Zinner, Cristina M. Brennan, John Joseph Conroy
Arbitrator(s): Leah R. Marks, Joan Marie Chiusano, Ellen R. Badinelli
Hearing Site: New York, NY
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| 11-00906 | 08/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): William Cross
Respondent Lawyers(s): Frank Breese
Arbitrator(s): Arthur W. Pigott, Mark A. Myers, James E. Bolin
Hearing Site: Jackson, MS
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| 11-01681 | 08/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Randall Fisher
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Dennis S. Boxeur, Michael E. Nelson, Van R. Oliver
Hearing Site: Wichita, KS
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| 12-01417 | 08/27/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Scot Erwin
Respondent Lawyers(s): Scot J. Erwin
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
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| 11-03117 | 08/24/2012 | Claimant(s): Roni Arjangravesh
Claimant Lawyers(s): Christine A. Page
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Christopher P. Fisher
Arbitrator(s): Philip W. Burge, David L. Maislen, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 11-02261 | 08/23/2012 | Claimant(s): Alan Jacobson, Richard Schwartz
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph E. Gehring
Arbitrator(s): Peter M. Pfau, Terrance J. Nolan, Ira S. Cure
Hearing Site: New York, NY
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| 11-04814 | 08/23/2012 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Bernard M. Levine, Michael A. Ruderman, Philip Boyd Wisener
Hearing Site: Newark, NJ
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| 12-00517 | 08/23/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): John Bostaph
Respondent Lawyers(s): John Edward Bostaph
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
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| 12-01519 | 08/23/2012 | Claimant(s): Alec Price
Claimant Lawyers(s): Carlos Ricca
Respondent(s): Lynn Schreiber, Neil Sperling
Respondent Lawyers(s): Kyle Kulzer
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-04240 | 08/22/2012 | Claimant(s): Brittany Duran
Claimant Lawyers(s): Brittany Marie Duran
Respondent(s): Alamo Capital
Respondent Lawyers(s): Allison Kent-Aster
Arbitrator(s): Robert J. Ruben
Hearing Site: Las Vegas, NV
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