| 10-05514 | 02/13/2012 | Claimant(s): Steven Cline
Claimant Lawyers(s): Matthew R. Chasar
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Adrienne L. Rapp
Arbitrator(s): Carol M. Stoner
Hearing Site: Cincinnati, OH
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| 09-06047 | 02/10/2012 | Claimant(s): Andrew Garrett Inc.
Claimant Lawyers(s): Revan R. Schwartz
Respondent(s): Edward Goetz, Phillip Goetz
Respondent Lawyers(s): Craig H. Riha
Arbitrator(s): Andrew J. Gerber
Hearing Site: New York, NY
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| 11-02504 | 02/10/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Evelyn C. Best
Respondent(s): The Macaluso Family Trust dd 9/25/1995
Respondent Lawyers(s): Leo Macaluso
Arbitrator(s): Mark R. Lee, Lauren Litman, Katherine Jane Morris
Hearing Site: San Diego, CA
| | Expungement |
| 11-02582 | 02/10/2012 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly Davis
Respondent(s): Richard Pascucci
Respondent Lawyers(s): Richard Peter Pascucci
Arbitrator(s): Kenneth Dymond
Hearing Site: Buffalo, NY
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| 10-02497 | 02/09/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Andrew Park
Respondent(s): James Onkst, Regina Onkst
Respondent Lawyers(s): Stuart D. Meissner
Arbitrator(s): Peter Ordower, John R. Michael, Enrico A. Mazzoli
Hearing Site: Louisville, KY
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| 10-04800 | 02/09/2012 | Claimant(s): Shawn Dailey
Claimant Lawyers(s): David K. Silverberg
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michelle E. Phillips
Arbitrator(s): Richard A. Scalfani, Frank C. Fogl, Allan H. Kaminsky
Hearing Site: Buffalo, NY
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| 11-00854 | 02/09/2012 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): John Goodson
Respondent Lawyers(s): John Goodson
Arbitrator(s): G. Brooks Euler, Arthur L. Tepper, John G. Manley
Hearing Site: Nashville, TN
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| 11-01899 | 02/09/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): John Newkirk
Respondent Lawyers(s): John Marcus Newkirk
Arbitrator(s): Thomas C. Wagner
Hearing Site: Cincinnati, OH
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| 10-00220 | 02/08/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Robert Chester
Respondent Lawyers(s): W. Hubert Plummer
Arbitrator(s): Daniel B. Berkson, Mitchell S. Friedman, Judith Fields Jurney
Hearing Site: New York, NY
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| 10-02642 | 02/08/2012 | Claimant(s): John Buckmaster
Claimant Lawyers(s): James G. Marsh
Respondent(s): Chicago Investment Group
Respondent Lawyers(s): Richard P. Lynch
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
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