| 10-05206 | 12/29/2011 | Claimant(s): Priscilla D. Johnson, IRA, William P. Johnson IRA, William P. Johnson & Priscilla D. Johnso
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Michael P. Anciello, Gene M. Bauer, Barry Joseph Fiske
Hearing Site: Boston, MA
|  | Expungement |
| 10-05371 | 11/09/2011 | Claimant(s): Judith Schmitt
Claimant Lawyers(s): Christopher McHallam
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): Arthur J. Giacomarra, William I. Carmen, Susan Largay
Hearing Site: Boston, MA
| | $0 |
| 10-03012 | 10/21/2011 | Claimant(s): John Dugan, John Dugan and Karen Dugan JTWROS
Claimant Lawyers(s): Kevin T. Smith
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A Karoly
Arbitrator(s): Lucy J. Karl, Colette Manoil, Jeffrey Neil Fink
Hearing Site: Boston, MA
| | Expungement |
| 10-03378 | 10/18/2011 | Claimant(s): Estate of Deborah L. Stein
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brady J. Hermann
Arbitrator(s): Brian J. Dunn, David J. Kaufman, James Alden Lincoln
Hearing Site: Boston, MA
| | $0 |
| 10-03334 | 10/12/2011 | Claimant(s): Alphonse Lucchese
Claimant Lawyers(s): Robert F. Dionisi
Respondent(s): Alfred Weaver, Citigroup Global Markets., Robert Malenfant, Citi Smith Barney
Respondent Lawyers(s): Compliance Officer, T. Peter R. Pound
Arbitrator(s): William I. Carmen
Hearing Site: Boston, MA
| | $0 |
| 08-01087 | 08/09/2011 | Claimant(s): Deborah Carroway, Gail Abdelnour, Michael Carroway & Robert James Carroway, James and Odette Abdelnour, Michael and Roslyn Abdelnour
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Joseph Crespi, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian Ellis
Arbitrator(s): Peter Svorinic, James R. Collins, Roger Carl Markhus
Hearing Site: Boston, MA
| | $0 |
| 10-00059 | 08/03/2011 | Claimant(s): Stamatis Astras
Claimant Lawyers(s): Robert Bertsch
Respondent(s): Mercer Capital Ltd.
Respondent Lawyers(s): Lynn G. Schultz
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 10-03839 | 07/20/2011 | Claimant(s): Arthur Manaselian
Claimant Lawyers(s): Benajamin Lapin
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Kevin J Mulrey, Leon E. Byng, Allen W. Fullerton
Hearing Site: Boston, MA
| | $0 |
| 10-02710 | 07/07/2011 | Claimant(s): Michael O'Connor
Claimant Lawyers(s): Michael O'Connor
Respondent(s): Noel Fleming
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
| | $0 |
| 09-07248 | 07/06/2011 | Claimant(s): Clifford Diver, Elaine Royce, Peter Jenkins, Hans L. Carstensen III, IRA, Michael L. Blau IRA, Nader Darehshori, Thomas J. Bucknum, Besty S. Pollack Trust by Besty S. Polla, Darren R. Scandone Trust by Darren R. Sc
Claimant Lawyers(s): Marjorie S. Cooke
Respondent(s): Michael Munson, Jefferies & Company.
Respondent Lawyers(s): John R. Snyder
Arbitrator(s): Nancy E. Watters, David J. Kaufman, Gene M. Bauer
Hearing Site: Boston, MA
| | $0 |
