| 10-01754 | 12/19/2013 | Claimant(s): Rita Cervoni, Vincent Cervoni
Claimant Lawyers(s): Howard Roitman
Respondent(s): Billy Wisdom, Wachovia Securities, Kevin Healy, William Brancato
Respondent Lawyers(s): Beth A. Black
Arbitrator(s): Laurel Littman Gothelf, George Frederick Garris, Royetta M. Jones
Hearing Site: Las Vegas, NV
|  | Expungement |
| 12-04141 | 07/25/2013 | Claimant(s): David Morris, Jane Morris
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Courtney M. Rogers Reid
Arbitrator(s): Robert E. Jenks, David L. Moran, Thomas J. Tanksley
Hearing Site: Las Vegas, NV
| | Dismissed by Rule 12504 |
| 12-00809 | 05/28/2013 | Claimant(s): Fae Silver
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Paul H. Lamboley, Merrill Dean Taylor, John G. Manley
Hearing Site: Las Vegas, NV
| | Expungement |
| 12-01974 | 05/07/2013 | Claimant(s): Ronald Damiani
Claimant Lawyers(s): Ronald Gene Damiani
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Michael Dean, David L. Moran, Robert Dean McKinley
Hearing Site: Las Vegas, NV
| | Dismissed by Rule 12206 |
| 11-02639 | 04/12/2013 | Claimant(s): Floyd Matheney, Mary Matheney, Floyd Matheney IRA, Mary Matheney IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Ameriprise Financial Services., Matthew Fournier
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): William C. Turner, Melvin S. Feldman, William Ogburn Huggins
Hearing Site: Las Vegas, NV
| | Expungement |
| 11-04279 | 03/05/2013 | Claimant(s): Bank of Nevada
Claimant Lawyers(s): Garrett W. Wotkyns
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Audette Paul Morales, Justin DeCamp
Arbitrator(s): James H. McAvoy, Steven A. Budin, Ernest F. Modzelewski
Hearing Site: Las Vegas, NV
| | Expungement |
| 11-03801 | 12/27/2012 | Claimant(s): Brenda Y. Ward Living Trust DTD 2/3/04
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): CM Securities a/k/a CMC Financial S
Respondent Lawyers(s): William D. Schuller
Arbitrator(s): Stanley H. Herbst, Dee Newell, William Ogburn Huggins
Hearing Site: Las Vegas, NV
| | $445,800 |
| 12-02230 | 11/19/2012 | Claimant(s): Richard & Patricia Ornstein
Claimant Lawyers(s): Richard Ornstein
Respondent(s): Seth Grano
Respondent Lawyers(s): Dave Lenny
Arbitrator(s): Dee Newell
Hearing Site: Las Vegas, NV
| | $11,450 |
| 11-04797 | 10/16/2012 | Claimant(s): James McKay, Kristine McKay
Claimant Lawyers(s): Martha J. Ashcraft
Respondent(s): Wells Fargo Advisors, Melisa Oehmke
Respondent Lawyers(s): Deidre Wolff
Arbitrator(s): Richard R. Edmister
Hearing Site: Las Vegas, NV
| | $8,693 |
| 12-00498 | 10/03/2012 | Claimant(s): Kirk Baerwaldt and Maxine Baerwaldt
Claimant Lawyers(s): Kirk Baerwaldt
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Las Vegas, NV
| | $0 |
