| 10-04909 | 10/01/2012 | Claimant(s): Laurence Pilgeram Ttee
Claimant Lawyers(s): Laurence Pilgeram
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): William M. Howard
Hearing Site: Las Vegas, NV
|  | $0 |
| 11-02713 | 09/28/2012 | Claimant(s): Helen Puskadi, Helen Puskadi Living Trust UAD 8/14/03
Claimant Lawyers(s): William S. Isenberg
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-01952 | 09/28/2012 | Claimant(s): David Phillipes, Deanna Phillipes, IRA, David Phillipes and Deanna Phillipes
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): James Rapuano, John Johnson
Respondent Lawyers(s): James Michael Rapuano, John Michael Johnson
Arbitrator(s): Edward F. Koren
Hearing Site: Philadelphia, PA
| | $75,000 |
| 10-01077 | 09/27/2012 | Claimant(s): Mayme Davis
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Thomas Czinner, Jon Stanley Spisiak
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02548 | 09/27/2012 | Claimant(s): Perry Allen
Claimant Lawyers(s): Anne W. Larkin
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Chris J. Conanan, William F. Etherington, Christian Peter Cimmino
Hearing Site: Richmond, VA
| | Expungement |
| 11-03650 | 09/27/2012 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Harrison Douglas.
Respondent Lawyers(s): Douglas W. Schriner
Arbitrator(s): Donald C. Hood
Hearing Site: Dallas, TX
| | $3,157,000 |
| 12-00737 | 09/27/2012 | Claimant(s): Evangelos Dimopoulos
Claimant Lawyers(s): Evangelos Dimopoulos
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sharon Kurgis
Respondent Lawyers(s): Jill M. Del Monico
Arbitrator(s): Jerrold Levine
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-00491 | 09/27/2012 | Claimant(s): Randi Belin (aka Randi Rosen), Sylvia Belin
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Wells Fargo Advisors, Jeri Cohen
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): James S. Hazard
Hearing Site: New York, NY
| | $0 |
| 11-01278 | 09/26/2012 | Claimant(s): Annette Mancini, Dominic Mancini
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Harvest Capital LLC
Respondent Lawyers(s): Richard N. Freeth
Arbitrator(s): Howard I. Wilgoren, B. J. Krintzman, Thomas C. Tretter
Hearing Site: Boston, MA
| | $158,250 |
| 10-02880 | 09/25/2012 | Claimant(s): Karl Townsend & Karen F. Townsend Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Walter P. Hitchcock, Herb Schwartz, William A. Husa
Hearing Site: San Francisco, CA
| | Expungement |
