| 11-02971 | 12/11/2012 | Claimant(s): David Baratko
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): William E. Smith, Timothy J. Brown, S. Charles Tabak
Hearing Site: Newark, NJ
|  | Expungement |
| 11-03990 | 12/11/2012 | Claimant(s): Pamela Johnson, Thomas Johnson, T. & P. Johnson, on behalf of IRA/Trusts
Claimant Lawyers(s): Stephen D. Milbrath
Respondent(s): Steven Thagard, Northwestern Mutual Investment Services
Respondent Lawyers(s): Jason M. Fedo, Michael A. Massari
Arbitrator(s): Robert J. Walter, Gayle B. Carlson, Laura Anne Wheeler
Hearing Site: Orlando, FL
| | Expungement |
| 11-02050 | 12/11/2012 | Claimant(s): Barrett Business Services., Estate of William Sherertz
Claimant Lawyers(s): Howard B. Prossnitz, Jahan K. Manasseh
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Philip E. Cutler, G. E. Craig Doupe, Alan Reginald Doe
Hearing Site: Seattle, WA
| | $0 |
| 10-01802 | 12/10/2012 | Claimant(s): Colleen Reardon, Edward Reardon, Edward Reardon TTEE of the Edward
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Mark L Miller, Marilee Roberg, Ronald A. Sirt
Hearing Site: Chicago, IL
| | Expungement |
| 11-04213 | 12/10/2012 | Claimant(s): Natalie Faith
Claimant Lawyers(s): William J. Gladden
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Edward R. Niederriter, Robert G. Geeseman, Scott Manker
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-04729 | 12/10/2012 | Claimant(s): David Holtzman and Susan Holtzman
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | Expungement |
| 12-01135 | 12/10/2012 | Claimant(s): Cathy Turner
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Edward Jones
Respondent Lawyers(s): Javier Chavez
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | $13,228 |
| 11-04059 | 12/07/2012 | Claimant(s): Gary Campanaro, Lorraine Campanaro
Claimant Lawyers(s): Jan Graham
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
| | $29,798 |
| 11-04276 | 12/07/2012 | Claimant(s): Robert Bridgeman
Claimant Lawyers(s): Robert C. Bridgeman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $0 |
| 11-02992 | 12/06/2012 | Claimant(s): Gary Glatz on behalf of his IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jonathan Butenuth, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Theodore W. Wrobleski, Stephen C. Esposito, Irving A. Chesler
Hearing Site: Chicago, IL
| | Expungement |
