| 11-03686 | 03/22/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Carter Inglis
Respondent Lawyers(s): Carter Alexander Inglis
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
| | |
| 11-03910 | 03/22/2012 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): William Adelsberger
Respondent Lawyers(s): William George Adelsberger
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
| | |
| 09-00090 | 03/21/2012 | Claimant(s): Barry Pollack, Scott Pollack, Barry & Kimberly Pollack Family Trust, Evelyn H. Pollack Grandchildren Trust
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Christopher China, Eric Arlt, Itradedirect.Com Corp
Respondent Lawyers(s): Brian Sanders, Christopher M. China, Eric D. Arlt
Arbitrator(s): Ferdinand Schoch, Mark R. Harris, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | |
| 10-05794 | 03/21/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Haorong Huang
Respondent Lawyers(s): Haorong Huang
Arbitrator(s): Barry S. Jacobson
Hearing Site: New York, NY
| | |
| 11-00950 | 03/21/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Karl Hahn
Respondent Lawyers(s): Karl E. Hahn
Arbitrator(s): Mary C. Kelleher
Hearing Site: Manchester, NH
| | |
| 11-04031 | 03/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Charles A. Crocco
Hearing Site: Newark, NJ
| | |
| 10-00822 | 03/20/2012 | Claimant(s): Robert Kaiser
Claimant Lawyers(s): Robert G. Kaiser
Respondent(s): World Group Securities.
Respondent Lawyers(s): Robert G. Brunton
Arbitrator(s): Philip H. Marmurowski
Hearing Site: Las Vegas, NV
| | |
| 10-04499 | 03/20/2012 | Claimant(s): Keith Wagner
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Clare R. Goldfarb, Sabrina Raquel Scott, John H. Beach
Hearing Site: Atlanta, GA
| | |
| 11-03865 | 03/20/2012 | Claimant(s): Garrett Bland
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Michael Barker
Respondent Lawyers(s): Michael D. Barker
Arbitrator(s): David L. Maislen
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-06280 | 03/19/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Jolie Bales
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): Michelle Judy Brant, William A. Husa, Michael J. Fish
Hearing Site: San Francisco, CA
| | |
