| 10-03347 | 09/21/2012 | Claimant(s): Oscar Lopez, Paul Compton, Sarah Compton, Toni Lopez
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Timothy Collins, H. Beck., Interactive Brokers LLC
Respondent Lawyers(s): Danya W. Blair, John J. Nielands, Timothy J. Collins
Arbitrator(s): Frank M. Romano, Phillip M. Renfro, David D. McNally
Hearing Site: Houston, TX
|  | $0 |
| 10-05544 | 09/20/2012 | Claimant(s): Everett Boykin
Claimant Lawyers(s): Robert E. Zaytoun
Respondent(s): Harold Blondeau, John Matthews, John Pace, Michele Wood, Richard Ferguson, Morgan Keegan & Company.
Respondent Lawyers(s): Harold Earl Blondeau, Terry R. Weiss
Arbitrator(s): John Russell Barlow, Michele Ann Ledo, Tom Cameron
Hearing Site: Raleigh, NC
| | $62,000 |
| 11-03008 | 09/20/2012 | Claimant(s): Karen Winston TTEE Winston Living Trust
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert W. Vernon, Louis R. Eglash, CathyLyn Rossi
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00782 | 09/19/2012 | Claimant(s): Richard Winslow
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Lawrence S. Silver, Herbert Branitsky, Andrew Jay Kohan
Hearing Site: Ft. Lauderdale, FL
| | Stipulated Award and Expungement |
| 11-00892 | 09/19/2012 | Claimant(s): Dharmendra Patel and Saroj Patel
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
| | Expungement |
| 12-00821 | 09/18/2012 | Claimant(s): I Rotmil TTE, for The Annette Rotmil IRA
Claimant Lawyers(s): Robert L. Rotmil
Respondent(s): Norman Robbins, Summit Brokerage Services.
Respondent Lawyers(s): Michael J. Lang
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
| | $44 |
| 10-02941 | 09/14/2012 | Claimant(s): Lewis Samuels
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04765 | 09/14/2012 | Claimant(s): Craig Dyas, Jacqueline Dyas
Claimant Lawyers(s): Hugh N. Lyle
Respondent(s): John Ross, Morgan Stanley, Rodney Fallin
Respondent Lawyers(s): Christine A. Kendrick, Donald R. Littlefield
Arbitrator(s): Roland D. Freeman, C. Sumpter Logan, Robert Jerry Strader
Hearing Site: Dallas, TX
| | Expungement |
| 11-03325 | 09/14/2012 | Claimant(s): Heidi Fritsch-Gil
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Carrie L. Chelko
Arbitrator(s): Abraham Harry Bunis
Hearing Site: Newark, NJ
| | Expungement |
| 11-01224 | 09/12/2012 | Claimant(s): Penny Lipp Family Trust
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Thomas A. Culbertson, Karen J. Burneff, W. Scott Bowersock
Hearing Site: Los Angeles, CA
| | Expungement |
