| 10-01921 | 07/12/2011 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Roland L. Olzark, Earlene R. Baggett-Hayes, Howard T.D. Spence
Hearing Site: Detroit, MI
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| 10-02618 | 07/12/2011 | Claimant(s): Mark Porter
Claimant Lawyers(s): Richard M. Gelb
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): June Y. Kilmarx, Paul F. Marandett, Steven S. Manos
Hearing Site: Boston, MA
| | |
| 10-05253 | 07/12/2011 | Claimant(s): Daniel Depalma
Claimant Lawyers(s): Daniel P DePalma
Respondent(s): John Liegey, Weston International Capital Markets Llc
Respondent Lawyers(s): Robert F. Waybrun, Robert F. Wayburn
Arbitrator(s): Gary W. Sherbell
Hearing Site: New York, NY
| | |
| 11-00041 | 07/12/2011 | Claimant(s): Samuel Crichton
Claimant Lawyers(s): Todd Ratner
Respondent(s): Thomas Johnson
Respondent Lawyers(s): Robert Q. Sayre
Arbitrator(s): Bert S Cliff, James A. Laurenson
Hearing Site: Charleston, WV
| | Expungement |
| 11-00109 | 07/12/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Kristi Lenderman
Respondent Lawyers(s): Kristi Ann Lenderman
Arbitrator(s): R. Phillip Reed
Hearing Site: Denver, CO
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| 09-05934 | 07/11/2011 | Claimant(s): HAP Trading
Claimant Lawyers(s): Thomas J. McCabe
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Robert L. Spangler, Allan N. Taffet, Mark J. Happe
Hearing Site: New York, NY
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| 10-02517 | 07/08/2011 | Claimant(s): Robert Petrowski
Claimant Lawyers(s): Ian A.J. Pitz
Respondent(s): Amanda Gausewitz, Jon Goldstein, Kyle Kerkenbush
Respondent Lawyers(s): Richard M. Burnham
Arbitrator(s): Leonard G. Leverson, David J. Hase, James Richard Carlson
Hearing Site: Milwaukee, WI
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| 10-01790 | 07/07/2011 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Justin P. Krypel
Respondent(s): Randall Deane
Respondent Lawyers(s): Philip J Snyderburn
Arbitrator(s): Robert S. Natiss
Hearing Site: Orlando, FL
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| 10-03178 | 07/07/2011 | Claimant(s): Michael Popick
Claimant Lawyers(s): Russell K. Bean
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alyssa K. Yatsko
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
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| 11-00279 | 07/07/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Susan Keator
Respondent Lawyers(s): David O.N. Johnson
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
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