| 11-00868 | 10/23/2012 | Claimant(s): Willie Grace
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Brookville Capital Partners
Respondent Lawyers(s): Brett D. Zinner
Arbitrator(s): Gloria J Liddell, Douglas E. Miller, William Bruce McKinley
Hearing Site: Jackson, MS
|  | $98,230 |
| 12-03478 | 10/23/2012 | Claimant(s): Marianne Shetzline
Claimant Lawyers(s): David Valicenti
Respondent(s): Scott McElhenny
Respondent Lawyers(s): Scott D. McElhenny
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $150,000 |
| 11-02009 | 10/22/2012 | Claimant(s): James Lunceford, James D. Lunceford, TTEE
Claimant Lawyers(s): J. Pat Sadler
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): August H. Schupp
Arbitrator(s): Robert H. Putnam, Joe E. Manuel, Brandt Leonard Ross
Hearing Site: Atlanta, GA
| | Expungement |
| 10-05795 | 10/22/2012 | Claimant(s): Claribel Fraguada
Claimant Lawyers(s): Marie E. Lopez Adames
Respondent(s): Ramon Dominguez Thomas, RD Capital Group.
Respondent Lawyers(s): Luis Sanchez Betances
Arbitrator(s): Mark C. Perry, Todd M. Saunders, Armando E. Ramirez Vivoni
Hearing Site: San Juan, PR
| | $0 |
| 11-01103 | 10/22/2012 | Claimant(s): Thomas Vogel, Thomas Vogel IRA
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Bill Swinford, James A. Melfi, Charles D. Underwood
Hearing Site: Cincinnati, OH
| | $0 |
| 11-03911 | 10/22/2012 | Claimant(s): Miriam Dean
Claimant Lawyers(s): Miriam Dean
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | $0 |
| 12-01111 | 10/22/2012 | Claimant(s): Leroy Benton, Margaret Benton
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Annette Gres Shepherd
Hearing Site: Jackson, MS
| | $213 |
| 10-00724 | 10/19/2012 | Claimant(s): Lee Linden
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): August "Jamie" H. Schupp
Arbitrator(s): Martin M. Van Luven, Sylvia D. Stiller, Kenneth Steven Halpern
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-05687 | 10/19/2012 | Claimant(s): Elizabeth McCarthy, Robert McCarthy, The Emily J. McCarthy Education Trust UA, The John P. McCarthy Education Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Sanford C. Bernstein & Co., Alliance Capital Management L.P., AllianceBernstein L.P.
Respondent Lawyers(s): Sean Murphy
Arbitrator(s): Lowell D. Johnston, Carol Maria Luttati
Hearing Site: New York, NY
| | $30,000 |
| 11-00508 | 10/19/2012 | Claimant(s): Michael Pascazi
Claimant Lawyers(s): Michael S. Pascazi
Respondent(s): Citigroup Global Markets., Morgan Stanley, Richard Divenuto, Salomon Smith Barney Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Pamela H. Roderick, Allan E. Johnson, Richard Gee
Hearing Site: New York, NY
| | Expungement |
