| 10-03941 | 10/08/2012 | Claimant(s): Gerhard Rohloff, Gerhard Rohloff Living Trust dd 7/11/05
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Jeffrey Arburn, Impact Financial Management, Whitehall-Parker Securities.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Herbert Liberman, Edwin C. Shiver, Mark Aaron Jones
Hearing Site: San Francisco, CA
|  | Expungement |
| 10-05262 | 10/08/2012 | Claimant(s): Diane Wendin
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Stephens.
Respondent Lawyers(s): Kim Keller Fowler
Arbitrator(s): Stan West, Barth Satuloff, John S. Leech
Hearing Site: Boca Raton, FL
| | $15,749 |
| 11-01073 | 10/05/2012 | Claimant(s): John Mattinen, Lucy Mattinen
Claimant Lawyers(s): Steven J. Rotunno
Respondent(s): Krittibas Ray, White Pacific Securities.
Respondent Lawyers(s): Krittibas Ray, Patrick Baldwin
Arbitrator(s): Ray J. Grzebielski, Renan I. Sugarman, Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $200,000 |
| 09-06268 | 10/04/2012 | Claimant(s): Richman Bry
Claimant Lawyers(s): Thomas Dressler
Respondent(s): Citigroup Global Markets., Kevin Caputo
Respondent Lawyers(s): Adam Kauff, Sylvia M. Scott
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00998 | 10/04/2012 | Claimant(s): Mark Conklin, The Conklin Corporation
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Lloyd Clareman
Arbitrator(s): Joan M. Traub, Laura H. Goldzung, Linda J. Baer
Hearing Site: Newark, NJ
| | Expungement |
| 10-04075 | 10/04/2012 | Claimant(s): Cheryl Wittmann, Robert Wittmann
Claimant Lawyers(s): D. Waxton White
Respondent(s): Marilee Hill, Steven L. Falk & Associates Inc.
Respondent Lawyers(s): H. Thomas Fehn, Steven L. Falk
Arbitrator(s): Douglas Earl McLaren, Jane F. Moore, Vicky L. Orem
Hearing Site: Baltimore, MD
| | $61,600 |
| 10-04291 | 10/04/2012 | Claimant(s): Myrna Wechsler, Estate of Natalie Varonok
Claimant Lawyers(s): Bruce A. Katzen
Respondent(s): Jodi Isdith, Raymond James Financial Services.
Respondent Lawyers(s): Jodi Beth Isdith, Terrance A. Bostic
Arbitrator(s): Monroe Mitchel, Lisa Marie Macci, Richard Alan Levine
Hearing Site: Boca Raton, FL
| | $800,000 |
| 10-04965 | 10/04/2012 | Claimant(s): Brian O'Grady, The O'Grady Family Partnership, Ltd.
Claimant Lawyers(s): Sheldon E. Richie
Respondent(s): Brett Schulick, David Miller, River Oaks Capital Management.
Respondent Lawyers(s): Andrew Leibowitz
Arbitrator(s): Philip I. McConnell, Lynne M. Gomez, William R. Jonson
Hearing Site: Houston, TX
| | $3,988,180 |
| 11-00758 | 10/04/2012 | Claimant(s): Carlos Perez
Claimant Lawyers(s): Marie Elsie Lopez-Adams
Respondent(s): Citigroup Global Markets., Juan Estarellas Sabater
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Bernard A. Becker, Stuart K. Furman, Guillermo A. Gleizer
Hearing Site: San Juan, PR
| | $25,300 |
| 11-03966 | 10/04/2012 | Claimant(s): Tom York
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Fred T. Kallet, James D. Knotter, Vytas Tarulis
Hearing Site: San Diego, CA
| | Stipulated Award and Expungement |
