| 10-00801 | 04/04/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel E. Endicott
Respondent(s): David Chapman, Paul Clayton, Sheri Chapman, Sherry West, EPWM Group.
Respondent Lawyers(s): Brian S. Harnikorate Officer, Michael P. McCloskey, Michael T. Conway
Arbitrator(s): Harvey C. Flodin, Guenter S. Cohn, James A. Bush
Hearing Site: San Diego, CA
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| 10-01727 | 04/04/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Kim Nordmo
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): Ferdinand Schoch, Arocles Aguilar, Peter Anthony Sigal
Hearing Site: San Francisco, CA
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| 10-04432 | 04/03/2012 | Claimant(s): Meri Ramazio, Tamara Smolchek
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Douglas K. Spaulding
Arbitrator(s): Harriet A. Kottick, Bonnie A. Pearce, Fred Abramoff
Hearing Site: Boca Raton, FL
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| 09-03865 | 03/30/2012 | Claimant(s): Brandon Rockow
Claimant Lawyers(s): Brandon D. Rockow
Respondent(s): Jeffrey DiCarlo, Patrick DiCarlo, Channel Point Partners
Respondent Lawyers(s): Jeffrey DiCarlo
Arbitrator(s): Steven A. Wawra, Robert C. Albini, Randall N. Kirk
Hearing Site: Los Angeles, CA
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| 10-04687 | 03/29/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Group., Merrill Lynch International Finance
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Thomas Zur
Respondent Lawyers(s): Brian D. Buckstein
Arbitrator(s): Kathryn M. Welsh, James Conrad Sankpill, Renaldy Jose Gutierrez
Hearing Site: Miami, FL
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| 11-01047 | 03/29/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): William Flowers
Respondent Lawyers(s): Steven C. Lawrence
Arbitrator(s): Richard E. Miley
Hearing Site: Raleigh, NC
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| 09-02191 | 03/28/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Jan Preece Gaddis, Billy H. Ware, Charles W. Adams
Hearing Site: Oklahoma City, OK
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| 11-00198 | 03/28/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): John Labarca
Respondent Lawyers(s): John J. Labarca
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
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| 11-01838 | 03/28/2012 | Claimant(s): Cantella & Co..
Claimant Lawyers(s): Jay Lanstein
Respondent(s): Kyle Lauzon
Respondent Lawyers(s): Brian J. Cohen
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
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| 11-03601 | 03/28/2012 | Claimant(s): Frank Monte
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Joseph Oleske
Respondent Lawyers(s): Joseph Robert Oleske
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
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