| 10-02906 | 12/12/2011 | Claimant(s): Scott Sutherland
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Dwight Badger, Keith Daubenspeck, Advanced Equities.
Respondent Lawyers(s): Amal S. Amin
Arbitrator(s): Sanford J. Prizant, Richard R. Bicek, James A. Murphy
Hearing Site: Chicago, IL
| | |
| 11-02213 | 12/12/2011 | Claimant(s): James Schwantner
Claimant Lawyers(s): James Schwantner
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): John Castelly, Kitoh Grey
Arbitrator(s): Allan E. Johnson, Howard D. Jacob, Donald Raymond McNally
Hearing Site: New York, NY
| | |
| 11-02647 | 12/12/2011 | Claimant(s): David Lerner Associates.
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): Benjamin Lingenfelter
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): William Wong, Noel B. Berman, Michael C. Cantor
Hearing Site: New York, NY
| | |
| 11-03141 | 12/12/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffrey Lavoie
Respondent Lawyers(s): Jeffrey Lavoie
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Manchester, NH
| | |
| 09-06592 | 12/09/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Thomas Flaherty
Respondent Lawyers(s): Matthew LeFande
Arbitrator(s): Michael Wolf, Kermit C. Zieg, Richard Charles Hotvedt
Hearing Site: Washington, DC
| | |
| 10-04973 | 12/09/2011 | Claimant(s): Maxim Minevich
Claimant Lawyers(s): Marc D Schifanelli
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): John G. McDonald
Arbitrator(s): Patrick Sean Dolan, Arthur Reynolds, Darryl Michael Lee
Hearing Site: Baltimore, MD
| | |
| 11-01640 | 12/09/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C Fischer
Respondent(s): William Schwind
Respondent Lawyers(s): William Alfred Schwind
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | |
| 11-02118 | 12/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Aileen D'Agostino
Respondent Lawyers(s): Aileen D'Agostino
Arbitrator(s): Roman S. Gribbs
Hearing Site: Detroit, MI
| | |
| 11-01297 | 12/08/2011 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Craig A. Vollono
Respondent(s): Jack Forlenza
Respondent Lawyers(s): Robert I. Rabinowitz
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
| | |
| 10-02566 | 12/07/2011 | Claimant(s): James Nunley
Claimant Lawyers(s): Mark A.J. Fassold
Respondent(s): EdgeTrade LLC, EdgeTrade., EdgeTrade.Com., Knight Capital Group., Knight Direct LLC
Respondent Lawyers(s): Jason Marlin
Arbitrator(s): Sheldon F. Schobert, G. Maynard Green, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
