| 11-02126 | 11/14/2012 | Claimant(s): Ronald Daurio
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): James Doidge, Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): William F. Skewes, Richard M. Reider, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
|  | $70,375 |
| 11-02075 | 10/09/2012 | Claimant(s): Leprino Foods Company
Claimant Lawyers(s): Michael G. Martin
Respondent(s): BNY Mellon Capital Markets
Respondent Lawyers(s): Todd E. Gordinier
Arbitrator(s): Samuel E. Wing, Melissa Dawn Hubbard, Robert M. Fusfeld
Hearing Site: Denver, CO
| | $0 |
| 11-00186 | 10/01/2012 | Claimant(s): Thomas Farnsworth
Claimant Lawyers(s): Stephen D. Hill
Respondent(s): Adam Sclafani
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Mary C. Davis
Hearing Site: Denver, CO
| | $56,464 |
| 10-02760 | 08/28/2012 | Claimant(s): Bernard Witkin, Sharon Witkin, Bernard Witkin IRA, Sharon E. Witkin IRA
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Citigroup Global Markets., Morgan Stanley & Co.
Respondent Lawyers(s): Debra (Volland) Achkire, Joseph L. Calabrese
Arbitrator(s): Richard M. Reider, Marilyn R. Lewis, Matthew Maurice Wolf
Hearing Site: Denver, CO
| | Expungement |
| 11-00064 | 08/27/2012 | Claimant(s): Dana Farmer, J. Farmer, Limpinbear Family Partnership, Ltd.
Claimant Lawyers(s): Daniel A. Wartell, Perry L. Glantz
Respondent(s): Bruce Dibiase, J.P. Morgan Securities, Peter Landgraff, J.P. Morgan Chase Bank, N.A.
Respondent Lawyers(s): Jonathan W. Rauchway
Arbitrator(s): James B. Eichberg, Lawrence J. Madden, Sheldon Edward Friedman
Hearing Site: Denver, CO
| | Expungement |
| 10-04476 | 08/17/2012 | Claimant(s): Debra Korbelik, Robert Korbelik, Brian Joseph Korbelik 2000 Trust, Brian Joseph Korbelik 2007 Trust, Debra A. Korbelik Trust, Jason Kyle Korbelik 2000 Trust, Jason Kyle Korbelik 2007 Trust, Robert B. Korbelik Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): David Barberis, Gregory Richardson, Melissa Corrado Harrison, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day, Tara A. LaClair
Arbitrator(s): Gene R. Thornton, Donald N. Tolin, David L. Erickson
Hearing Site: Denver, CO
| | $0 |
| 09-07132 | 08/02/2012 | Claimant(s): Daniel Violette, Daniel M. Violette IRA Rollover
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Steven Meyrich, Marc H. Schtul, Edward Allan Hindman
Hearing Site: Denver, CO
| | Expungement |
| 10-02406 | 06/29/2012 | Claimant(s): David Schanin, Susan Schanin
Claimant Lawyers(s): Stuart Pack
Respondent(s): Katherine Larsen, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Federico C. Alvarez, Kenneth Harry Combs, Baldwin Ranson
Hearing Site: Denver, CO
| | Expungement |
| 11-01421 | 06/15/2012 | Claimant(s): Granada Enterprises., Estate of Justyn C. Rosen, Rosen Family Associates, Ltd., Rosen Investments, LLLP, Justyn C. Rosen 1988 Irrevocable Ins Tst, Justyn C. Rosen Marital Trust No. 1, Justyn C. Rosen Trust for Marian Rosen, Marsha Zimmerman Irrevocable Trust, Rosen Investment Trust No. 1, Rosen Investment Trust No. 2, Sharon Irrevocable Trust 3/1/85, Sharon J. Mandel Irrevocable Trust, Sharon Rosen Trust by Marian Rosen Trust
Claimant Lawyers(s): Michael H. Berger
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Samuel L. McClaren, Baldwin Ranson, Andrew Barton
Hearing Site: Denver, CO
| | $0 |
| 11-04636 | 06/13/2012 | Claimant(s): Wall Street Communications Group.
Claimant Lawyers(s): David M. Kaye
Respondent(s): Alpine Securities Corporation, Spencer Edwards.
Respondent Lawyers(s): Gordan Dihle, Richard F. Ensor
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Denver, CO
| | $8,279 |
