| 11-01158 | 09/25/2012 | Claimant(s): Jamal Abdul-Kabir, Joyce Hanson
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): James N. D'Orso, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
|  | Expungement |
| 11-03166 | 09/25/2012 | Claimant(s): Bernard Kaszovitz, Floradahl Sacks Trust
Claimant Lawyers(s): David H. Charlip, Stephen David Murakami
Respondent(s): Sean Clancy, Janney Montgomery Scott LLC
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Seth L. Finkel, John H. Claudy, Thomas Roy Spencer
Hearing Site: Miami, FL
| | Expungement |
| 11-03974 | 09/25/2012 | Claimant(s): Bethel A.M.E. Church.
Claimant Lawyers(s): William S. Heyman
Respondent(s): Charlene Monts, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regin P. Martorana
Arbitrator(s): Richard E. Lauziere, Sandra Lee Dolan, Steven Irving Platt
Hearing Site: Baltimore, MD
| | Expungement |
| 12-01108 | 09/25/2012 | Claimant(s): Michael Bruni
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Alex Hotzoglou, Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
| | $23,089 |
| 12-01129 | 09/25/2012 | Claimant(s): Paul Cottrell
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Birmingham, AL
| | $25,425 |
| 12-01001 | 09/25/2012 | Claimant(s): Yazheng Song
Claimant Lawyers(s): Yazheng Song
Respondent(s): Genesis Securities, Wang Investment Associates.
Respondent Lawyers(s): Dennis W. Maloney, William Yeh
Arbitrator(s): Reed H. Bement
Hearing Site: San Francisco, CA
| | $175 |
| 09-04321 | 09/24/2012 | Claimant(s): Christine Monahan, Mark Babb, Michael Monahan
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): H. Beck.
Respondent Lawyers(s): Lisa A. Nielsen
Arbitrator(s): Robert A. Vogler, Benjamin A. Kerner, Earlene R. Baggett-Hayes
Hearing Site: Detroit, MI
| | $400,000 |
| 09-06807 | 09/24/2012 | Claimant(s): Richard Barrett
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Dorothy B. Strackbein, Nancy G. Harris, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00934 | 09/24/2012 | Claimant(s): Letzgo Co.
Claimant Lawyers(s): Scott Hirsch
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Gary M. Landau, John E. Sutton, Suzanne E. Mowry
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 11-01327 | 09/24/2012 | Claimant(s): Lisa Mazzone, Alexandra Mazzone UGMA, Nicholas A. Mazzone UGMA
Claimant Lawyers(s): Alan L Frank
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew Park
Arbitrator(s): Louis H. Miron, John R. Buehler, Felicia T. Farber
Hearing Site: Newark, NJ
| | Expungement |
