| 11-01815 | 09/12/2012 | Claimant(s): Doug Siegel, Teri Siegel, Terri Siegel IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Joseph V. Simeri, Robert David Epstein, William Gibson Heller
Hearing Site: Indianapolis, IN
|  | $8,500 |
| 11-03787 | 09/12/2012 | Claimant(s): Roland McLean
Claimant Lawyers(s): Jeffrey M. Salas
Respondent(s): Aaron Porter, Shayne Kuebler, Great Northern Financial Securities
Respondent Lawyers(s): Aaron Virgil Porter, Douglas A. Fry, Shayne Dean Kuebler
Arbitrator(s): Thomas R. Dreiling, Carl J. Carlson, Roy J. Moceri
Hearing Site: Seattle, WA
| | $424,550 |
| 08-02290 | 09/11/2012 | Claimant(s): Sophin Investments S.A.
Claimant Lawyers(s): Barry R. Fischer
Respondent(s): Ezequiel Nasser, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Capital Services.
Respondent Lawyers(s): Daniel Goldstein, Dominick F. Evangelista, Kenneth I. Schacter
Arbitrator(s): Kenneth L. Lampert, Brian J. Burstin, Myron Kove
Hearing Site: New York, NY
| | $3,632,020 |
| 10-05119 | 09/11/2012 | Claimant(s): Estate of Richard Greenfield, Anna Greenfield Trust
Claimant Lawyers(s): Anthony J. Hartman
Respondent(s): Bradley Schlang, David Spinar, Debra Hansen, Dennis King, Douglas Fehr, James Heeney, James Nagengast, Jay Idt, Securities America., Kevin Miller, Lamar Jones, Michael Perlmuter, Pamela Wertheim, Randy Schneider, Scott Cross, Scott Hoyt, Steven Mcwhorter, W. Cross, Securities America Advisors.
Respondent Lawyers(s): Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Robert G. Conway, Gregory P. Szuter, Leroy Burton Parks
Hearing Site: Cleveland, OH
| | Expungement |
| 11-02946 | 09/11/2012 | Claimant(s): Peggy Jones
Claimant Lawyers(s): Ronnie L. Agnew
Respondent(s): Southwest Securities., SWS Financial Services.
Respondent Lawyers(s): Richard A. Illmer
Arbitrator(s): Ann Blaess Kimball, Andrea U. Calve, Melvin H. Wolovits
Hearing Site: Dallas, TX
| | $15,000 |
| 11-01784 | 09/11/2012 | Claimant(s): Rollin Park
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Wells Fargo Advisors, Harry Oldham, Robert Haggard
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mollie Wagner Neal, David E. Morris, William Clay Gilbert
Hearing Site: Atlanta, GA
| | $0 |
| 10-03269 | 09/10/2012 | Claimant(s): Kenneth Lemings
Claimant Lawyers(s): Walter J. Schmidt
Respondent(s): Donald Treloar, Randall Anderson
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Donald H. Korn
Hearing Site: San Francisco, CA
| | Expungement |
| 11-03633 | 09/10/2012 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Boogie Investment Group.
Respondent Lawyers(s): Daniel P. Deighan
Arbitrator(s): Terrence W. Grant, Phillip Lee Scheldt, Joann Peters
Hearing Site: Dallas, TX
| | $833,650 |
| 12-01866 | 09/10/2012 | Claimant(s): Gregory Webb
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): James Rapuano
Respondent Lawyers(s): James Michael Rapuano
Arbitrator(s): Jeffrey P. Petrucelly
Hearing Site: Boston, MA
| | $150,000 |
| 10-04170 | 09/10/2012 | Claimant(s): David DeBerry IRA, Rebecca DeBerry, IRA, David Keith DeBerry Irrevocable Trust I,, David Keith Deberry Irrevocable Trust II, DeBerry Revocable Living Trust, David an, Sharon Lynn DeBerry Irrevocable Trust I,, Sharon Lynn DeBerry Irrevocable Trust II, Sheila Ann DeBerry Lea Irrevocable Trust
Claimant Lawyers(s): Adam Nativ, Dale Ledbetter, George M. Fleming
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Douglas Edwards, George Frederick Garris, Dee Newell
Hearing Site: Las Vegas, NV
| | $0 |
