| 10-01900 | 06/14/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Robert Isom
Respondent Lawyers(s): John S. Pringle, Jr.
Arbitrator(s): William H. Malloy
Hearing Site: Columbia, SC
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| 10-02363 | 06/14/2011 | Claimant(s): Christine O'Leary, Edward Harmon, Orrin Lebrew
Claimant Lawyers(s): Vicki Kuftic Horne
Respondent(s): BNY Mellon Capital Markets
Respondent Lawyers(s): Catherine S. Ryan
Arbitrator(s): Roger W. Van Deusen, Timothy Shay Davis, Charles B. Jarrett
Hearing Site: Pittsburgh, PA
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| 11-00548 | 06/14/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Jeffrey Gargiulo
Respondent Lawyers(s): Gordon C. Lane
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Ft. Lauderdale, FL
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| 10-02538 | 06/13/2011 | Claimant(s): Marlon Dubinsky
Claimant Lawyers(s): Gerald T. Laurie
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): John B. Orenstein, Natalie A. Roberts, Susan M. Sanger
Hearing Site: Minneapolis, MN
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| 10-04675 | 06/13/2011 | Claimant(s): Larry Addams
Claimant Lawyers(s): Larry Wayne Addams
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert G. Scott
Hearing Site: Kansas City, MO
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| 11-00400 | 06/13/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Donald R. Littlefield
Respondent(s): John Sork
Respondent Lawyers(s): John Sork
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
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| 08-04039 | 06/10/2011 | Claimant(s): Alaina Spilkevitz
Claimant Lawyers(s): Michael C. Farkas
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Robert S. Whitman
Arbitrator(s): Roger J. Hawke, William G. Binckes, Nicholas Brunero
Hearing Site: New York, NY
| | Expungement |
| 10-01885 | 06/10/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): David Smith
Respondent(s): Richard Lewie
Respondent Lawyers(s): Richard K. Lewie
Arbitrator(s): Mark A. Myers
Hearing Site: Dallas, TX
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| 10-02161 | 06/10/2011 | Claimant(s): KCD Financial.
Claimant Lawyers(s): T. Wickham Schmidt
Respondent(s): James Hintz, Steven Salzman, American Beacon Partners.
Respondent Lawyers(s): Michael C. Barrows, Peter B. Shaeffer
Arbitrator(s): David J. Hase, Howard N. Rubin, Michael Davin Fischer
Hearing Site: Milwaukee, WI
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| 09-01121 | 06/09/2011 | Claimant(s): Yasir Sabri
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Christal J. Henner, Carolyn A. Mann, Ivan W. Harper
Hearing Site: New York, NY
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