| 10-04235 | 11/14/2011 | Claimant(s): Catherine Pinkas
Claimant Lawyers(s): John Fu
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Frank R Weaver, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | |
| 11-01080 | 11/14/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Jeffrey Farmer
Respondent Lawyers(s): Jeffrey Scott Farmer
Arbitrator(s): David P. Slater
Hearing Site: Orlando, FL
| | |
| 10-02076 | 11/11/2011 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne K Yannakakis
Respondent(s): David Reneau
Respondent Lawyers(s): Ron S. Iddins
Arbitrator(s): Robert H. Putnam, David K. Weiskircher, Judith Stilz Ogden
Hearing Site: Atlanta, GA
| | |
| 10-03097 | 11/11/2011 | Claimant(s): Mel Schonhorst
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): RBC Capital Markets LLC, William Gumbert
Respondent Lawyers(s): Richard A. Rohan
Arbitrator(s): Kenneth D. Bingham, Phillip Lee Scheldt, Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | |
| 10-03164 | 11/11/2011 | Claimant(s): William Johnson
Claimant Lawyers(s): William J. Johnson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Joseph J. Slotnik, Marie G. Peterson, Laurence V. Senn
Hearing Site: Boca Raton, FL
| | |
| 10-01622 | 11/10/2011 | Claimant(s): Donald Wilson
Claimant Lawyers(s): Kirk B. Freeman
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Jane Bradley, David J. Romanski, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | |
| 11-00177 | 11/10/2011 | Claimant(s): Eduardo Morkunas
Claimant Lawyers(s): Eduardo Morkunas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): William McCourt Schmitt
Arbitrator(s): Joseph L. Bernstein
Hearing Site: Miami, FL
| | Expungement |
| 11-01916 | 11/10/2011 | Claimant(s): Stuart Siegel
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): John Gwynn, Martha Gwynn, Mary Gwynn, Martha M. Gwynn Rev. Trust UAD 5/14/90
Respondent Lawyers(s): John L. Gwynn, Martha L. Gwynn, Mary L. Gwynn
Arbitrator(s): Christopher M. Shulman
Hearing Site: Tampa, FL
| | Expungement |
| 09-00549 | 11/09/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kurt Halverstadt, Sean Lehmann
Respondent Lawyers(s): Kurt Halverstadt, Sean Lehmann
Arbitrator(s): Mary Curran, Carlos Richard Mangum, Jane F. Gundermann
Hearing Site: San Francisco, CA
| | |
| 11-02474 | 11/09/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Terrence Devlin
Respondent Lawyers(s): Terrence Timothy Devlin
Arbitrator(s): Richard A. Knudsen
Hearing Site: Omaha, NE
| | |
