| 09-06473 | 10/03/2012 | Claimant(s): The Segue Foundation., James Sherry IRA Account, Shirley Sherry Revocable Trust DTD 09/22
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Susan C. Lushing, Christian Leslie Billet, Susan Y. Chin
Hearing Site: New York, NY
|  | Expungement |
| 11-00632 | 10/03/2012 | Claimant(s): David Mengo
Claimant Lawyers(s): David A. Mengo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | Expungement |
| 12-00151 | 10/03/2012 | Claimant(s): Dale Schubert
Claimant Lawyers(s): Dale J. Schubert
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): J. Curtis McCubbin
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | $7,873 |
| 12-01114 | 10/03/2012 | Claimant(s): Connie Knox
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Stuart K. Furman
Hearing Site: Birmingham, AL
| | $17,925 |
| 12-00498 | 10/03/2012 | Claimant(s): Kirk Baerwaldt and Maxine Baerwaldt
Claimant Lawyers(s): Kirk Baerwaldt
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Las Vegas, NV
| | $0 |
| 11-00417 | 10/02/2012 | Claimant(s): David Berdeaux, William Grace
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Paul K. Barenholtz, Edward R. Niederriter, Robert G. O'Brien
Hearing Site: Birmingham, AL
| | $103,214 |
| 11-01363 | 10/02/2012 | Claimant(s): Malco Real Estate.
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Irwin Kahn
Hearing Site: New York, NY
| | Expungement |
| 11-02864 | 10/02/2012 | Claimant(s): Janie Orr, John Orr
Claimant Lawyers(s): Robert D. O'Conor
Respondent(s): Wells Fargo Advisors, Perry Lyons
Respondent Lawyers(s): Michael A. Rodriguez
Arbitrator(s): Philip I. McConnell, Jack Chapline Vaughan, Joshua D. Wallach
Hearing Site: Houston, TX
| | Expungement |
| 08-04952 | 10/01/2012 | Claimant(s): Charles Giger
Claimant Lawyers(s): David Audley
Respondent(s): Christipher Belonge, James Ahmann, James Hintz, Pavek Investments Inc.
Respondent Lawyers(s): Christipher Lynn Belonge, Michael C. Bruck, Peter B. Shaeffer
Arbitrator(s): Charles F. Custer, Robert J. Larson, Timothy M. Feeney
Hearing Site: Chicago, IL
| | $800,000 |
| 11-00186 | 10/01/2012 | Claimant(s): Thomas Farnsworth
Claimant Lawyers(s): Stephen D. Hill
Respondent(s): Adam Sclafani
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Mary C. Davis
Hearing Site: Denver, CO
| | $56,464 |
