| 11-03066 | 11/30/2012 | Claimant(s): Arlene Hazelrigg
Claimant Lawyers(s): Edward S. Gelfand
Respondent(s): Morgan Stanley & Co., Steven Vitale
Respondent Lawyers(s): Jonathan D. Robbins, Thomas P. Briody
Arbitrator(s): Roberta Haft, Benjamin F. Breslauer, David W. Dresnick
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-03226 | 11/30/2012 | Claimant(s): Phyllis Culbertson
Claimant Lawyers(s): David P. Meyer
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): J. Curtis McCubbin
Arbitrator(s): Jeffrey M. Bain, Vincent S. Mezinko, Michael Angelo Massa
Hearing Site: Columbus, OH
| | $184,995 |
| 12-01227 | 11/30/2012 | Claimant(s): Timothy Clemm
Claimant Lawyers(s): Timothy L. Clemm
Respondent(s): E*Trade Securities
Respondent Lawyers(s): John Bersin
Arbitrator(s): Daniel E. Gulden
Hearing Site: Atlanta, GA
| | $7,320 |
| 12-01722 | 11/30/2012 | Claimant(s): George Heise, Janelle Heise
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Nancy Ziering
Respondent Lawyers(s): Nancy Robyn Ziering
Arbitrator(s): Richard D. DeVita
Hearing Site: Newark, NJ
| | $15,705 |
| 11-04512 | 11/30/2012 | Claimant(s): Bonnie Halleran, Kirt Willard
Claimant Lawyers(s): Kirt Willard
Respondent(s): James Parenti, James Williams
Respondent Lawyers(s): James A. Stankowski
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $0 |
| 12-01392 | 11/30/2012 | Claimant(s): David Chow
Claimant Lawyers(s): David Chow
Respondent(s): Wells Fargo Advisors, Llc
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $0 |
| 11-04068 | 11/29/2012 | Claimant(s): Edward Laborio
Claimant Lawyers(s): Edward Laborio
Respondent(s): Robert Myers, Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Laila Asmar Folk, Elena G. Rodriguez, Adrienne Elizabeth Rowles
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 11-04498 | 11/29/2012 | Claimant(s): Joseph Lacare
Claimant Lawyers(s): Paul J. Mooney
Respondent(s): David Lemond, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Robert Rapp, Jeffrey M. Bain, Thomas R. Skulina
Hearing Site: Cleveland, OH
| | Expungement |
| 11-00618 | 11/28/2012 | Claimant(s): Denise Rotolante
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Benjamin Buchanan, Southwest Securities., Mark Grant, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Gary Irwin, Julie Wilson Portera
Arbitrator(s): John P. Cullem, Larry G. Kjosa, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $49,375 |
| 11-01216 | 11/28/2012 | Claimant(s): Danisha Rolle, Samari Rolle
Claimant Lawyers(s): Robert J. Neary
Respondent(s): Jeffrey Rubin, Pro Sports Financial.
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Susanne J. Hollander, Mark J. McCarthy, Laura Anne Wheeler
Hearing Site: Boca Raton, FL
| | Expungement |
