| 11-03148 | 12/15/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Scott Dascani
Respondent Lawyers(s): Scott Dascani
Arbitrator(s): William F. Glaser
Hearing Site: Tampa, FL
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| 10-01554 | 12/14/2011 | Claimant(s): Robert Lipka
Claimant Lawyers(s): Howard S. Meyers
Respondent(s): Katherine Alcorn, Raymond James Financial Services.
Respondent Lawyers(s): David A. Gehn, Glenn A. Duhl
Arbitrator(s): Paul Weinberg, Bernard Korman, Adam M. Kauff
Hearing Site: New York, NY
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| 10-02325 | 12/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Frank Bodi
Respondent Lawyers(s): Harry O. Channon
Arbitrator(s): Mitchell B. Goldberg
Hearing Site: Cleveland, OH
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| 10-03348 | 12/14/2011 | Claimant(s): Pruco Securities, Prudential Insurance Agency, The Purdential Insurance Co. of America
Claimant Lawyers(s): Stephen Castaldo
Respondent(s): Douglas Inlay
Respondent Lawyers(s): Douglas E. Inlay
Arbitrator(s): Thomas F. Mahoney, Lawrence R. Commers, Steven C. Despotovich
Hearing Site: Des Moines, IA
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| 10-04034 | 12/14/2011 | Claimant(s): Thomas Styczen
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Wells Fargo Advisors, Robert Schrieber
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Jonathan Gorman Cook, Jonathan B. Gilbert, G. Marshall Abbey
Hearing Site: Chicago, IL
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| 11-01663 | 12/14/2011 | Claimant(s): Mitchell Kauffman
Claimant Lawyers(s): Samuel E. Endicott
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Dennis A. Torres
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03177 | 12/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Steven P. Pherson
Respondent(s): Christopher Guenther
Respondent Lawyers(s): Christopher R. Guenther
Arbitrator(s): Frank C. Fogl
Hearing Site: Cleveland, OH
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| 09-05335 | 12/13/2011 | Claimant(s): Nicholas Stefanis
Claimant Lawyers(s): James R. Hubbard
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Chandler R Bridges, George S. Willingham, Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 10-01141 | 12/13/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Daniel Hudson
Respondent Lawyers(s): Bruce V Schewe
Arbitrator(s): Frederick H. Bruce, Lynne R. Stern, Kathryn M. Welsh
Hearing Site: New Orleans, LA
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| 09-02852 | 12/12/2011 | Claimant(s): Mark Sidell
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): David M. Levine, Will Murphy, Barry Rabinowitz
Hearing Site: Boca Raton, FL
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