| 10-02176 | 12/20/2012 | Claimant(s): Robert Barash
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Willard Pugh, Dawson James Asset Management., Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Paul Joseph McIntyre, Peter A. Portley, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-01987 | 12/20/2012 | Claimant(s): Richard and Maria Wood
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc., Financial Network Investment Corporation, UBS Financial Svcs. of Puerto Rico
Respondent Lawyers(s): Nanette Berrios Haddock, Robert C. Quinones, Sonia Torres-Pabon
Arbitrator(s): Steven R. Reininger, Jerrold Levine, Thomas R. Noonan
Hearing Site: San Juan, PR
| | Expungement |
| 11-02431 | 12/20/2012 | Claimant(s): Irvin Welch
Claimant Lawyers(s): Jan Graham
Respondent(s): Wachovia Securities, Dwayne Alpers, Louis Navellier
Respondent Lawyers(s): Joseph E. Floren, Philip A. McLeod
Arbitrator(s): George J. Karlsven, Joan M. Traub, Michael G. Clark
Hearing Site: Salt Lake City, UT
| | Expungement |
| 11-04596 | 12/20/2012 | Claimant(s): Timothy Tutko
Claimant Lawyers(s): David A. Nold
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Michael R.E. Sanders, Todd A. Bloom, David Gonzalez
Hearing Site: Seattle, WA
| | Expungement |
| 11-01309 | 12/20/2012 | Claimant(s): Andrew Mo
Claimant Lawyers(s): Andrew Mo
Respondent(s): Zecco Trading.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Jeffrey E. Skogsbergh, John E. Ohashi, Milton N. Gross
Hearing Site: Los Angeles, CA
| | $0 |
| 11-04662 | 12/19/2012 | Claimant(s): Baolin Gao
Claimant Lawyers(s): Danning Jiang
Respondent(s): Simon Lin, White Pacific Securities.
Respondent Lawyers(s): Robert Angle, Simon Siao Roun Lin
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
| | $17,690 |
| 12-00575 | 12/19/2012 | Claimant(s): Lois Martello, The Estate of Frank T. Martello, Frank T. Martello Fam. Trust f/b/o Keith, Frank T. Martello Fam. Trust f/b/o Linda, Frank T. Martello Fam. Trust f/b/o Tim, The Frank T. Martello Revocable Trust
Claimant Lawyers(s): Steven J. Gard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): J. Porter McClean, Pamela Jeanne Rush, Gail E. Sasnett-Stauffer
Hearing Site: Jacksonville, FL
| | Expungement |
| 12-00746 | 12/19/2012 | Claimant(s): Davis Carson
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Dennis S. Boxeur, Raymond E. Tompkins, Van R. Oliver
Hearing Site: Oklahoma City, OK
| | Expungement |
| 11-01938 | 12/18/2012 | Claimant(s): Mary O'Sullivan, Neil J. O'Sullivan Trust, Thomas E. O'Sullivan Rev liv Trust
Claimant Lawyers(s): Jonathan F. Andres
Respondent(s): Kathryn Winter, Moloney Securities Co..
Respondent Lawyers(s): Jeff Jamieson, Kenton E. Knickmeyer
Arbitrator(s): R. Phillip Reed, Jerry M. Deters, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $150,000 |
| 11-03590 | 12/18/2012 | Claimant(s): Sheryl Elshire, The Sherdon Trust
Claimant Lawyers(s): John M. Adsit
Respondent(s): Edward Glenn, Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Gerald F. Corrigan, Alan M. Rosen, Seymour Schoen
Hearing Site: Los Angeles, CA
| | Expungement |
