| 11-03517 | 11/05/2012 | Claimant(s): Peter Ohrenberger
Claimant Lawyers(s): John B. Glynn
Respondent(s): Wells Fargo Advisors, Michael Ewanouski
Respondent Lawyers(s): Yoonsun Chung
Arbitrator(s): Arthur J. Giacomarra
Hearing Site: Boston, MA
|  | $0 |
| 11-02758 | 11/02/2012 | Claimant(s): Joseph Vollmer, Robert Vollmer, POA for J. Vollmer
Claimant Lawyers(s): Robert W. Vollmer, POA for J. Vollmer
Respondent(s): Wells Fargo Advisors, James Copley, Mark Vaughan, Thomas Tiner
Respondent Lawyers(s): Sara Soto, Scott A. Eichhorn
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
| | $0 |
| 11-02740 | 11/01/2012 | Claimant(s): Wanda L. Lombardo Rev. Trust
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Charles H. Maguire, Charles D. Underwood, Stephen P. Calardo
Hearing Site: Cincinnati, OH
| | Expungement |
| 11-03727 | 11/01/2012 | Claimant(s): Suzanne Kreis
Claimant Lawyers(s): Steele T. Williams
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
| | $0 |
| 11-00087 | 10/30/2012 | Claimant(s): Marvin Adler, Theda Adler, The Theda Adler Trust U/A/D 1/15/97
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau, Randi Perry Spallina
Arbitrator(s): Kalman J. Lester, William Kent Brown, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02507 | 10/29/2012 | Claimant(s): Brian Williams
Claimant Lawyers(s): Peter Pattakos
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): John C. DeMoss
Hearing Site: Minneapolis, MN
| | $37,500 |
| 11-00157 | 10/26/2012 | Claimant(s): Edward Duffie, Eleanor Duffie, Edward R. & Eleanor N. Duffie Irr Trust
Claimant Lawyers(s): Robert R. Sparks
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Karla Y. Vogel, Arthur P. Barry, Patricia Ann Hone
Hearing Site: Atlanta, GA
| | $0 |
| 12-01189 | 10/25/2012 | Claimant(s): Bradley Glatter
Claimant Lawyers(s): Bradley Glatter
Respondent(s): LPL Financial LLC, Michael Lutz
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $213 |
| 10-00992 | 10/24/2012 | Claimant(s): Brigette Roberts
Claimant Lawyers(s): Bryan T. Mohler
Respondent(s): Pascal Besman, ThinkEquity Partners
Respondent Lawyers(s): Douglas Pick
Arbitrator(s): Elizabeth Gilbert, Sherri L. Hughes, Marianne C. Hussey
Hearing Site: New York, NY
| | $1,475,000 |
| 12-03350 | 10/24/2012 | Claimant(s): Sergio Alvarado
Claimant Lawyers(s): David Neuman
Respondent(s): Glen Smith, Capstone Partners, L.C.
Respondent Lawyers(s): Glen Edward Smith, Gregory Bartko
Arbitrator(s): Irving A. Chesler
Hearing Site: Chicago, IL
| | $997,380 |
