| 12-03753 | 08/07/2014 | Claimant(s): Celia Shecter
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael P. Marryshow, Patrick R. Westerkamp, Esq., Harold Yaskin
Hearing Site: Philadelphia, PA
|  | Expungement |
| 12-02268 | 07/31/2014 | Claimant(s): Joanna Lyon, Ray Lyon
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Douglas Earl McLaren, Jonathan K. Tycko, Jane A. Smith
Hearing Site: Washington, DC
| | Expungement |
| 12-04192 | 07/28/2014 | Claimant(s): Diegel Family Living Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00722 | 05/30/2014 | Claimant(s): James Salvano, Rene Salvano
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley Smith Barney LLC
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-00213 | 04/29/2014 | Claimant(s): Joseph Loprieato, Peggy Loprieato
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Michael J. Fish, Arocles Aguilar, Roger Donald Bolgard
Hearing Site: San Francisco, CA
| | Expungement |
| 12-04331 | 03/27/2014 | Claimant(s): Melvin Hall
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Joseph C. Roberts, James A. Vawter, Jerome O. Cohen
Hearing Site: Seattle, WA
| | Expungement |
| 12-04185 | 03/06/2014 | Claimant(s): Nicholas Methven
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): American Portfolios Financial Services
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): W. William Harness, John D. Mattingly, Wallace T. Tanksley
Hearing Site: Atlanta, GA
| | Expungement |
| 12-01361 | 01/02/2014 | Claimant(s): Frank Goldstein
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Douglas Earl McLaren, Steven Irving Platt, Edward Alexander Jaffe
Hearing Site: Baltimore, MD
| | Expungement |
| 12-04333 | 12/13/2013 | Claimant(s): Brad Johnson
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Keith C. Folkman, Ross W. Cannon, James R. Medley
Hearing Site: Helena, MT
| | Expungement |
| 12-02066 | 07/22/2013 | Claimant(s): John Santiago
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Joel P. Mellis
Hearing Site: New York, NY
| | Expungement |
