| 10-02436 | 03/19/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Christopher Dickman
Respondent Lawyers(s): Christopher J. Dickman
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
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| 11-01450 | 03/16/2012 | Claimant(s): Cynthia Harman
Claimant Lawyers(s): John B. Veach
Respondent(s): Edward Jones
Respondent Lawyers(s): James B. Spears
Arbitrator(s): Richard E. Miley, Celeste A. Beron, Richard Timothy Curran
Hearing Site: Charlotte, NC
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| 11-03538 | 03/16/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Faisal Khan
Respondent Lawyers(s): Faisal David Khan
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
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| 11-03864 | 03/16/2012 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Harriett Pitts, Thomas R. Pitts Trust
Respondent Lawyers(s): Harriett Pitts
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04189 | 03/16/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Jeffrey Zachter
Respondent(s): Chane Hazelett
Respondent Lawyers(s): Chane W. Hazelett
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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| 10-01101 | 03/15/2012 | Claimant(s): Darin Ackerman
Claimant Lawyers(s): Charlotte W. Houghteling
Respondent(s): CRT Capital Group LLC
Respondent Lawyers(s): Nancy E. Delaney
Arbitrator(s): Mitchell S. Friedman, Howard A. Baker, John Murray Carroll
Hearing Site: New York, NY
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| 11-02668 | 03/14/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Eric M Chial
Respondent(s): Frank Petersen
Respondent Lawyers(s): Frank Douglas Petersen
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
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| 09-01518 | 03/13/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Soukkay Keomysy
Respondent Lawyers(s): Adam A. Gillette
Arbitrator(s): Emily F. Seesel, Jeffrey W. Jacobs, John R. Lepley
Hearing Site: Minneapolis, MN
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| 11-00094 | 03/13/2012 | Claimant(s): Byron Stanislaw
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Leon Fox, Raymond P. Buschmann, Murray David Shaewitz
Hearing Site: Chicago, IL
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| 11-03487 | 03/13/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Brian R. Mills
Respondent(s): Joseph Jackson
Respondent Lawyers(s): Steven C. Lawrence
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Raleigh, NC
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