| 12-03531 | 07/10/2013 | Claimant(s): Charles Hadley, Charles J. Hadley II IRA, Charles J. Hadley & Linda J. Hadley Ten
Claimant Lawyers(s): Jeffrey M. Salas
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Clayton J. Borne, Michael S. Wilk, Francis Frank Fontenot
Hearing Site: New Orleans, LA
|  | Expungement |
| 10-03339 | 06/25/2013 | Claimant(s): Lorraine Johnson
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Clave E. Gill, Jeffrey Ackermann
Hearing Site: New Orleans, LA
| | Expungement |
| 09-05843 | 05/02/2013 | Claimant(s): Beatrice Pigno, Carolyn Andre, Chia Liu, Chu Mein, Clifton Dufour, Cody Milton, David Stelly, Dolores Perry, Eric Pace, George Quartano, Gerald Perry, Jean Tsai, John Murphy, John Templet, Jung Lo, Lisa Dufour, Lola Stelly, Loleta Soloman, Marc Stelly, Pat Milton, et al
Claimant Lawyers(s): Lance C. McCardle, W. Andrew Clayton
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Clayton J. Borne, Brian P. Jakes, Richard J. Clement
Hearing Site: New Orleans, LA
| | Expungement |
| 11-03202 | 03/20/2013 | Claimant(s): Joseph Lorio
Claimant Lawyers(s): James F. Willeford
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez, Executive Director
Arbitrator(s): Ron C. Christner, Jack Chapline Vaughan, Simeon B. Reimonenq
Hearing Site: New Orleans, LA
| | Expungement |
| 12-01333 | 02/04/2013 | Claimant(s): Elta Cheramie
Claimant Lawyers(s): James F. Willeford
Respondent(s): Timothy Armentor, NFP Securities.
Respondent Lawyers(s): Duris L. Holmes
Arbitrator(s): Simeon B. Reimonenq, Clave E. Gill, Francis Frank Fontenot
Hearing Site: New Orleans, LA
| | $0 |
| 10-01722 | 10/17/2012 | Claimant(s): Hayden Mayeaux, Norma Mayeaux
Claimant Lawyers(s): Joseph F. Durio
Respondent(s): Citigroup Global Markets., Jeffrey D'Amico, Mary Landry
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Bertrand C. Moser, David J. Schexnaydre, Edward David Sonnier
Hearing Site: New Orleans, LA
| | $0 |
| 11-02704 | 10/16/2012 | Claimant(s): Edmond Helaire, Estate of Nina R. Helaire
Claimant Lawyers(s): Edmond Helaire
Respondent(s): Shelley Moncrief, Hibernia Investment Securities.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Jeff Kilgore
Hearing Site: New Orleans, LA
| | $0 |
| 12-01130 | 09/05/2012 | Claimant(s): Suzanne Smith, Stanford A. Smith, Jr.
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Frederick H. Bruce
Hearing Site: New Orleans, LA
| | $213 |
| 11-00156 | 08/16/2012 | Claimant(s): Linda Westerfield, William Westerfield
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spailina
Arbitrator(s): Charles H. Peterson, Francis Frank Fontenot, Brian James Tagtmeier
Hearing Site: New Orleans, LA
| | Expungement |
| 09-00671 | 07/09/2012 | Claimant(s): Nick Noriea, Noriea V Investments, Noriea VII Investments, Noriea XI Investments
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hills
Arbitrator(s): Allen J. Krouse, Thomas Edmond Mingledorff, Richard J. Clement
Hearing Site: New Orleans, LA
| | $0 |
