| 11-01549 | 10/19/2012 | Claimant(s): Edward LaPosta
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Donald B. Vaden
Hearing Site: Charleston, WV
|  | Expungement |
| 11-02603 | 10/19/2012 | Claimant(s): Maria Collado
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Deutsche Bank Securities., Kevin Gai
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | $0 |
| 11-04106 | 10/19/2012 | Claimant(s): Hershel Finkelstein
Claimant Lawyers(s): Hershel Finkelstein
Respondent(s): Abram Silver, Jacob Eilenberg, Moses Silver
Respondent Lawyers(s): Abram Joseph Silver, Jacob Eilenberg, Moses M. Silver
Arbitrator(s): Raymond Nardo
Hearing Site: New York, NY
| | $213 |
| 11-02052 | 10/18/2012 | Claimant(s): Billie Miles
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Martin S. Chester
Arbitrator(s): Howard R. Gaines, Ronald Edward Hibbing, Paul A. Cash
Hearing Site: Phoenix, AZ
| | $0 |
| 12-01283 | 10/18/2012 | Claimant(s): Milan Chilla
Claimant Lawyers(s): Milan E. Chilla
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Hassan A. Abedi
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
| | $0 |
| 08-00156 | 10/17/2012 | Claimant(s): Basil Maher, M. Maher, Essex Equity Holdings USA
Claimant Lawyers(s): S. Gale Dick
Respondent(s): Jeffrey Chernick, John Liu, Mark Stevenson, Neil Greenspan, Peter Gambee, Sanford Haber, William Gourd, Greenhill & Co.
Respondent Lawyers(s): Andrew J. Melnick, Emmet P. Ong, Theodore A. Krebsbach
Arbitrator(s): Robert E. Anderson, Judith P. Brooks, Sam Antar
Hearing Site: New York, NY
| | $0 |
| 10-01722 | 10/17/2012 | Claimant(s): Hayden Mayeaux, Norma Mayeaux
Claimant Lawyers(s): Joseph F. Durio
Respondent(s): Citigroup Global Markets., Jeffrey D'Amico, Mary Landry
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Bertrand C. Moser, David J. Schexnaydre, Edward David Sonnier
Hearing Site: New Orleans, LA
| | $0 |
| 11-00611 | 10/17/2012 | Claimant(s): Peggy A. Boyles IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mimi B. Osiason, Frank Brenner, Audrey Belitz Rauchway
Hearing Site: Tampa, FL
| | $0 |
| 11-01653 | 10/17/2012 | Claimant(s): Mary R. Brumfield Living Trust, Steven F. Brumfield Living Trust, Steven M. Brumfield Living Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Roger Ruth, MWA Financial Services Inc.
Respondent Lawyers(s): Carlos E. Mustelier, Douglas P. Whipple
Arbitrator(s): Emily J. Lewis, Alex H. Keller, Mary D. Stevenson
Hearing Site: Columbus, OH
| | $600 |
| 12-01553 | 10/17/2012 | Claimant(s): Kenneth Volz, Nancy Volz
Claimant Lawyers(s): Kenneth H. Volz, Nancy M. Volz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
