11-04556 | 03/08/2013 | Claimant(s): Lori Strayn, Payton Ashleigh Strayn U/NV/UTMA Claimant Lawyers(s): Mark E. Maddox Respondent(s): Wells Fargo Advisors, Fred Snyder, E*Trade Securities LLC, Robert Strayn Respondent Lawyers(s): Deirdre Wolff, John Bersin, Robert Kevin Strayn Arbitrator(s): Paul Lansing, Sherrill Wm Colvin, Robert David Epstein Hearing Site: Indianapolis, IN
| | $118,217 |
12-00027 | 03/08/2013 | Claimant(s): Bette Kelly, Bette J. Kelly Trust Claimant Lawyers(s): Steven B. Lehat Respondent(s): Lance Marcus, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Eric A. Herzog Arbitrator(s): Barbara M. Zak, Chester L. Firestein, Robin Carr Hearing Site: Los Angeles, CA
| | $0 |
12-01861 | 03/07/2013 | Claimant(s): Rene Mamouzellos Claimant Lawyers(s): Robert V. Cornish Respondent(s): James Rapuano Respondent Lawyers(s): James Michael Rapuano Arbitrator(s): Gene M. Bauer Hearing Site: Boston, MA
| | $22,599 |
11-04331 | 03/07/2013 | Claimant(s): Dale Stamer, Dan Schroeder, Darla Severding, David Steinke, Dennis Tucker, Dianna Sheets, Don Severding, Donna Medinger, Grant Christianson, Jerry Hartnell, Julie Schroeder, Kirk Sims, Lori Baylor, Michael Stamer, Neil Case, Pat Tucker, Patricia O'Callaghan, Randy Kingery, Richard Beltz, Rita Beltz, et al Claimant Lawyers(s): Gail E. Boliver Respondent(s): Thomas Berthel, Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Cory D. Olson Arbitrator(s): Leo G. Stern, Thomas L. Dueber, Grant D. Sanders Hearing Site: Des Moines, IA
| | $0 |
10-04513 | 03/06/2013 | Claimant(s): William Adams Claimant Lawyers(s): Philip M. Giordano Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Cory S. Zadanosky Arbitrator(s): Melanie S. Cherdack, Elena G. Rodriguez, Ronald Stephen Lieberman Hearing Site: Ft. Lauderdale, FL
| | $0 |
11-03111 | 03/06/2013 | Claimant(s): Nancy Thomas, Nancy K. Thomas Revocable Trust U/A/D 97 Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Morgan Stanley Respondent Lawyers(s): Lisa B. Dodge Arbitrator(s): Lawrence Goldberg, Donald Theodore Ryce, Harris Gally Hearing Site: Boca Raton, FL
| | $0 |
12-00177 | 03/06/2013 | Claimant(s): Charles Caughern, IRA FBO Charles D. Caughern Claimant Lawyers(s): Wayne M. Whitaker Respondent(s): Lavon Williams Respondent Lawyers(s): Charles B. Goodwin Arbitrator(s): Robert Steven Haught, Rowland Denman, G. Maynard Green Hearing Site: Oklahoma City, OK
| | $0 |
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
| | $0 |
12-00306 | 03/05/2013 | Claimant(s): Charles W. Stager Trust B Claimant Lawyers(s): Wendy Stager Respondent(s): Frederick Walker Respondent Lawyers(s): Gregory B. Simon Arbitrator(s): Stephen P. Hoffman Hearing Site: Charlotte, NC
| | $25,704 |
12-00987 | 03/05/2013 | Claimant(s): Edward Forman Claimant Lawyers(s): Edward Phillip Forman Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): John Starnes Arbitrator(s): Mark S. Foster Hearing Site: Kansas City, MO
| | $0 |