| 11-01502 | 05/04/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Irving M. Shlesinger, Karla Y. Vogel, David Blair Sinyard
Hearing Site: Atlanta, GA
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| 11-02308 | 05/04/2012 | Claimant(s): Rodney Plaskett
Claimant Lawyers(s): Rodney A. Brown
Respondent(s): Ledgemont Capital Group, Ledgemont Securities LLC
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Philip M. Mandel, Jack Friedman, Aubrey Lees
Hearing Site: New York, NY
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| 11-02785 | 05/04/2012 | Claimant(s): Drew Springer
Claimant Lawyers(s): John T. Gerhart
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Justin J. D'Elia
Arbitrator(s): William E. Hartsfield, Terry Landry, Edward J. Lynch
Hearing Site: Dallas, TX
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| 11-03086 | 05/04/2012 | Claimant(s): Bernard Parker, Edward Jones
Claimant Lawyers(s): Dennis J. Capriglione
Respondent(s): Mary Falloon
Respondent Lawyers(s): Mary Jane Falloon
Arbitrator(s): David Finnegan, Larry Kars, Mary K. Ortegon
Hearing Site: New York, NY
| | Expungement |
| 11-00299 | 05/03/2012 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Jason Reeves
Respondent Lawyers(s): Joel H. Thomas
Arbitrator(s): George A. Sellnau, Christine Winn Powell, Brian James Tagtmeier
Hearing Site: Houston, TX
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| 11-03090 | 05/03/2012 | Claimant(s): Bull & Bear Brokerage Services., Bull & Bear Capital Advisors
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): Robert Liggero
Respondent Lawyers(s): Nicholas V. Pulignano
Arbitrator(s): Michael R. Alford, Pamela Jeanne Rush, Mitchel Weiss
Hearing Site: Jacksonville, FL
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| 10-04599 | 05/02/2012 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jeremy St. Jean
Respondent Lawyers(s): Peter F. Carr
Arbitrator(s): Nelson P. Lovins
Hearing Site: Boston, MA
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| 10-04930 | 05/02/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Anthony Robbins
Respondent Lawyers(s): Anthony D. Robbins
Arbitrator(s): Lester Neal Ellis
Hearing Site: Charlotte, NC
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| 11-03107 | 05/02/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S Tendrich
Respondent(s): Kenneth Solis
Respondent Lawyers(s): Scott Silver
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
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| 11-04599 | 05/02/2012 | Claimant(s): Helen Robinson, Helen T. Robinson Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): John Schooler, Louis Schooler, Thomas Hanson, Tom English, Warren Horney, WFP Securities
Respondent Lawyers(s): Louis V. Schooler, Theodore Peters, Tom English
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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