| 12-00123 | 05/17/2013 | Claimant(s): Judith Biss, Kenneth Biss, USA Hawaii Self Storage 14 LLC
Claimant Lawyers(s): John Owen Murrin
Respondent(s): Kenneth McDonald, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Ralph H. Erickson, Elliott David Finkel, Robert A. Lombardi
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-04771 | 03/13/2013 | Claimant(s): Athena Venture Partners, L.P.
Claimant Lawyers(s): David R. Moffitt
Respondent(s): Goldman, Sachs and Company, Eric Gettleman, Scott Sheffer
Respondent Lawyers(s): Edward M. Posner
Arbitrator(s): Edward T. Borer, Kathleen K. Murphy, Demetrio S. Timban
Hearing Site: Philadelphia, PA
| | $0 |
| 10-04028 | 06/08/2012 | Claimant(s): Susan Biles, SGB Springfield, SGB-Landmark Towers LLC, SGB-Village at Old Trace LLC
Claimant Lawyers(s): David I. Lefkowitz
Respondent(s): James Franceus, Crown Capital Securities, L.P., Summit Financial Advisors.
Respondent Lawyers(s): Tanya Durkee Urbach
Arbitrator(s): R. Lee Smith, Paul R. Meyer, Harold J. Schleef
Hearing Site: Portland, OR
| | $5,793 |
| 09-06361 | 05/17/2012 | Claimant(s): The Estate of George T. Arns, The Arns Family Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Frank Delli Carpini, Pershing LLC, UBS Financial Services Inc., Belle Haven Investments, L.P.
Respondent Lawyers(s): Amy B. Bard, Garry Lischin, Matthew Tracy
Arbitrator(s): Kinchen C. Bizzell, Saul Scheier, Ellyn S. Roth
Hearing Site: New York, NY
| | Expungement |
| 11-00870 | 03/26/2012 | Claimant(s): Doxa Family Partnership, L.P., Emily A. Schwarz Rev Living Trust, George Weber Jr. Trust etc.
Claimant Lawyers(s): Ronald B. Ziegler
Respondent(s): LPL Financial LLC, Peter Reinecke
Respondent Lawyers(s): Donald J. Mehan, Peter W. Gillies
Arbitrator(s): Gerald Cohen, John R. Loss, Casey John Whalley
Hearing Site: St. Louis, MO
| | Expungement |
| 11-01308 | 03/09/2012 | Claimant(s): Daniel Rosenthal, Robert Hirsh
Claimant Lawyers(s): Herbert Beigel
Respondent(s): William Fretz, The Keystone Equities Group, L.P.
Respondent Lawyers(s): Mu'min F. Islam
Arbitrator(s): Guillermo L. Bosch, John P. Hughes, Walter R. Milbourne
Hearing Site: Philadelphia, PA
| | $0 |
| 10-05814 | 02/24/2012 | Claimant(s): Janice Carkeek, Janice Carkeek IRA, Janice A. Carkeek Revocable Trust U/A/D
Claimant Lawyers(s): Alan L. Sachs
Respondent(s): Jeremy Kisner, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, G. Thomas Fleming
Arbitrator(s): James H. McAvoy, Melvin S. Feldman, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
| | $31,768 |
| 11-00165 | 02/02/2012 | Claimant(s): Inokentiy Osadchyy
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Aleksandr Denisov, Naum Voloshin, Pinnacle Securities, L.P., San Francisco Securities.
Respondent Lawyers(s): Aleksandr Yurievich Denisov, Naum Voloshin
Arbitrator(s): Aubrey Lees, Robert S. Getman, Robert Francis Geary
Hearing Site: New York, NY
| | $224,620 |
| 10-02248 | 01/12/2012 | Claimant(s): Derek LaFavor, LaFavor Investments, L.P.
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): LPL Financial LLC, Michael Manning, Hamilton, Manning & Associates
Respondent Lawyers(s): John Kincade, John Singer
Arbitrator(s): Elizabeth A. Copley, Theodore T. Wdowiak, Anita Rae Shapiro
Hearing Site: Las Vegas, NV
| | Stipulated Award and Expungement |
| 09-06233 | 09/16/2011 | Claimant(s): JPTDLM, L.P.
Claimant Lawyers(s): Jeffrey J. Liotta
Respondent(s): Oppenheimer & Co.., Jonathan Greene, Kyle Wool, Oppenheimer Asset Management Inc.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Susan H. Schleisner, Gary L. Grolle, Dennis M. Selby
Hearing Site: Milwaukee, WI
| | Expungement |
