| 11-03792 | 12/18/2012 | Claimant(s): Patricia Tanner
Claimant Lawyers(s): Timothy Tanner
Respondent(s): Albert Alvey, Brian Horne, Kevin Kunz, Investment Management Corporation
Respondent Lawyers(s): Albert Clark Alvey, Brian Young Horne, Kevin Dee Kunz, Kevin Kunz
Arbitrator(s): Richard Djokic
Hearing Site: Salt Lake City, UT
|  | $73,185 |
| 11-04642 | 12/18/2012 | Claimant(s): William Armstrong
Claimant Lawyers(s): William Edwin Armstrong
Respondent(s): David Brouwer
Respondent Lawyers(s): David Granville Brouwer
Arbitrator(s): Daniel P. Lund
Hearing Site: Miami, FL
| | $0 |
| 12-01319 | 12/18/2012 | Claimant(s): Arvind Kochar
Claimant Lawyers(s): Mahendr S. Kochar
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04500 | 12/17/2012 | Claimant(s): Lawrence Dale, LBD Holdings 2007
Claimant Lawyers(s): Christian D. Tucker
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stephen C. Carlin
Arbitrator(s): Karen Roberts Washington, Frances Johnson Wright, Timothy Paul Davis
Hearing Site: Dallas, TX
| | $1,380,640 |
| 11-01904 | 12/17/2012 | Claimant(s): Parviz Samii
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Michael A. Levin, David P. Slater, Paul J. Burkhart
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-02874 | 12/17/2012 | Claimant(s): Donna Berry
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Jeffrey E. Skogsbergh, Elliott David Finkel, Herbert Murez
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01144 | 12/17/2012 | Claimant(s): Joseph Feld
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Marc T. Danon
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00395 | 12/14/2012 | Claimant(s): Michael Sorochinsky, Michael & Lauren Sorochinksky Fam Trust, Werbin Family Trust dtd 10/20/92
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Howard A. Emirhanian, Vincent J. Natoli, George L. Tindall
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01872 | 12/14/2012 | Claimant(s): Barbara Istas, James Istas
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Andrew R. Dick, Peter N. Thompson, Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-03167 | 12/14/2012 | Claimant(s): Jay Debow, Suzanne Debow, MLPF&S Cust FBO Jay Debow IRA, MLPF&S Cust FBO Suzanne Hayat Debow IRA, MLPF&S Cust FBO J. Debow Consulting P.S
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Mark Imbertson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Colleen M. Fitzgerald, Donald F. Winningham
Arbitrator(s): Frances D. Sheehy, Mark T. Burnam, Stephen Kahane
Hearing Site: Boca Raton, FL
| | Expungement |
