| 11-02035 | 11/28/2012 | Claimant(s): Phillip Sherrill
Claimant Lawyers(s): John B. Veach
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Craig Kuglar
Arbitrator(s): John H. Griffing, Stephen P. Hoffman, Daphne Tippens Chisolm
Hearing Site: Charlotte, NC
|  | $283,862 |
| 12-00973 | 11/28/2012 | Claimant(s): Robert Zepfel
Claimant Lawyers(s): Robert J Zepfel
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Elizabeth A. Copley
Hearing Site: Los Angeles, CA
| | $5,600 |
| 10-05385 | 11/28/2012 | Claimant(s): Angelica Gavaldon, Sergio Gavaldon, Harley Investments., S&A Investments.
Claimant Lawyers(s): Robert M. Traylor
Respondent(s): Stanchart Securities International., Standard Chartered Bank International, Standard Chartered International (USA)
Respondent Lawyers(s): Ricardo Gonzalez
Arbitrator(s): Lisa M. Roth, E. Milton Frosburg, Gino Dante Serpe
Hearing Site: San Diego, CA
| | $0 |
| 10-01665 | 11/27/2012 | Claimant(s): Sharda Motwani, Virumal Motwani
Claimant Lawyers(s): Virumal Motwani
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Katherine Jane Morris, Evan A. Gould, Seth Schwartz
Hearing Site: San Diego, CA
| | Expungement |
| 10-02198 | 11/27/2012 | Claimant(s): Anita P. Hamburg, Anita P. Hamburg Revocable Living Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Bruce K. Isenberg, Ralph H. Emer, Howard Bernstein
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02737 | 11/27/2012 | Claimant(s): Frances Straccia, Mary Lambert, Ronald Ferrante, Angela Straccia, Mark Straccia, Anne Ferrante, Lambert Family Trust, Mary Beth Lambert Revocable Trust dated, Thomas Lambert QTIP Marital Trust
Claimant Lawyers(s): Steven N. Fuller
Respondent(s): Addess Realty, Ceros Financial Services., RedBlack LLC
Respondent Lawyers(s): Cliff G. Anderson, Michael R. Gaico
Arbitrator(s): William H. McCarter, Jane Venckus Zirlis, W. Wright Danenbarger
Hearing Site: Manchester, NH
| | $1,813,200 |
| 10-01816 | 11/26/2012 | Claimant(s): Carolyn Gilson
Claimant Lawyers(s): Jonathan Etra
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Bernard (Bob) L. Loring, Jerrold Levine, Daniel P. Lund
Hearing Site: Miami, FL
| | $367,055 |
| 11-01411 | 11/26/2012 | Claimant(s): James Berggren, Patricia Berggren
Claimant Lawyers(s): James J. Moylan
Respondent(s): Hugo Long, Morgan Stanley & Co.
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Robert C. Bonges, Robert S. Sugarman, Ronald A. Lavery
Hearing Site: Chicago, IL
| | $52,065 |
| 11-01506 | 11/21/2012 | Claimant(s): Helen D. Ross, FBO IRA, Ronald J. Ross, MD FBO IRA
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Christopher Prassas, Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Ellen Sessions
Arbitrator(s): Stan West, Michael J. Quarequio, David Gerber
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03230 | 11/21/2012 | Claimant(s): Cynthia Flynn, John Flynn
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Dominic Sacca, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Roman S. Gribbs
Hearing Site: Detroit, MI
| | $107,379 |
