| 11-01834 | 05/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Kyle Roulet
Respondent Lawyers(s): Kyle Daniel Roulet
Arbitrator(s): Douglas W. Oldfield
Hearing Site: San Francisco, CA
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| 11-00180 | 05/08/2012 | Claimant(s): Eduardo Morkunas
Claimant Lawyers(s): Eduardo Morkunas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): William McCourt Schmitt
Arbitrator(s): Daniel P. Lund
Hearing Site: Miami, FL
| | Expungement |
| 11-03620 | 05/08/2012 | Claimant(s): Obsidian Financial Group
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Stuart Jeffery
Respondent Lawyers(s): Stuart A Jeffery
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 11-03971 | 05/08/2012 | Claimant(s): Matthew Phillips
Claimant Lawyers(s): Matthew Timothy Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
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| 10-04557 | 05/07/2012 | Claimant(s): Lon R. Melton
Claimant Lawyers(s): Lon R. Melton
Respondent(s): Princor Financial Services Corp, Principal Financial Group
Respondent Lawyers(s): Corporate Officer, Traci Weldon
Arbitrator(s):
Hearing Site: Phoenix, AZ
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| 10-04775 | 05/07/2012 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Ronald D. Shindler
Respondent(s): Alejandro Rotundo, Jose de la Lama, Michel Rittenberg
Respondent Lawyers(s): Ronald D. Shindler, Ronald Weil
Arbitrator(s): Nancy J. Cliff, William R. Alheim, James Conrad Sankpill
Hearing Site: Miami, FL
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| 11-03196 | 05/07/2012 | Claimant(s): Francis Guasta
Claimant Lawyers(s): Jack (Francis V) Guasta
Respondent(s): Kentucky Financial Group., Private Client Services
Respondent Lawyers(s): John E. Hill, President
Arbitrator(s): John F Fennig
Hearing Site: Chicago, IL
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| 09-02937 | 05/04/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Brodie
Respondent(s): Jonathan Berstein
Respondent Lawyers(s): Carl F. Schoeppl
Arbitrator(s): Carl Shechter, Kevin S. Doty, Dale H. Van Scoyk
Hearing Site: Boca Raton, FL
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| 10-01869 | 05/04/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Stephen Cote
Respondent Lawyers(s): Stephen M. Cote
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
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| 10-01899 | 05/04/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Walter Vazquez
Respondent Lawyers(s): Walter Vazquez
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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