| 11-01483 | 07/20/2012 | Claimant(s): Kurt Pham
Claimant Lawyers(s): Kurt Huy Pham
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Mary Curran, Lester Friedman, Arocles Aguilar
Hearing Site: San Francisco, CA
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| 11-01937 | 07/20/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Bradley Barnett
Respondent Lawyers(s): M. Tyler Reynolds
Arbitrator(s): Richard B. Lewis
Hearing Site: Louisville, KY
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| 12-00050 | 07/20/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Kelly Chapman
Respondent Lawyers(s): Kelly Chapman
Arbitrator(s): Mary Beth Wheeler, Rody P. Biggert, Ann Wilhelmina Kuppe
Hearing Site: Chicago, IL
| | Expungement |
| 10-01216 | 07/19/2012 | Claimant(s): Linda Eydt
Claimant Lawyers(s): James C. Cifelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Michael J. Ahlstrom, Joyce F. Glucksman, Harry G. Mason
Hearing Site: Atlanta, GA
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| 10-04946 | 07/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): L. Andrew Brehm
Respondent(s): Eugene Flynn
Respondent Lawyers(s): Hyman Silverglad
Arbitrator(s): Charles P. Axelrod, Howard Breindel, Deborah A. Shapiro
Hearing Site: New York, NY
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| 12-00066 | 07/19/2012 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Stephen Grant
Respondent Lawyers(s): Stephen Duncan Grant
Arbitrator(s): Terry M Lloyd
Hearing Site: San Francisco, CA
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| 10-04155 | 07/18/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Alan Hollingsworth
Respondent Lawyers(s): Paul E. Tinkler
Arbitrator(s): Donald B. Vaden
Hearing Site: Columbia, SC
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| 11-00398 | 07/18/2012 | Claimant(s): Anthony Desantis
Claimant Lawyers(s): Mark T. Butler
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): John C. Kelly
Arbitrator(s): Jacqueline R. Fox, Dana R. Dawe, Michael George Kelly
Hearing Site: Detroit, MI
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| 12-00396 | 07/18/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Riley
Respondent Lawyers(s): Jeffrey S Riley
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
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| 10-02128 | 07/17/2012 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Michael Finkelstein
Respondent(s): Ben Gecaj, Timothy Bradley, Timothy Murphy, Waterford Investor Services.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Roger J. Hawke, Jack Friedman, Stevan J. Bosses
Hearing Site: New York, NY
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