| 12-01323 | 08/28/2012 | Claimant(s): Simon Shortman, Simon P. Shortman and Rebecca W. Shortma
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Walter P. Hitchcock
Hearing Site: San Francisco, CA
|  | $0 |
| 11-00064 | 08/27/2012 | Claimant(s): Dana Farmer, J. Farmer, Limpinbear Family Partnership, Ltd.
Claimant Lawyers(s): Daniel A. Wartell, Perry L. Glantz
Respondent(s): Bruce Dibiase, J.P. Morgan Securities, Peter Landgraff, J.P. Morgan Chase Bank, N.A.
Respondent Lawyers(s): Jonathan W. Rauchway
Arbitrator(s): James B. Eichberg, Lawrence J. Madden, Sheldon Edward Friedman
Hearing Site: Denver, CO
| | Expungement |
| 11-03428 | 08/27/2012 | Claimant(s): Arik Borohov
Claimant Lawyers(s): Todd A. Gabor
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
| | Expungement |
| 11-02535 | 08/27/2012 | Claimant(s): George W Hussey
Claimant Lawyers(s): David Young Parker
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Bill Swinford, Fred M. Ridolphi, Neil Harvey Smith
Hearing Site: Nashville, TN
| | $0 |
| 11-04377 | 08/27/2012 | Claimant(s): Judith Myers
Claimant Lawyers(s): Judith A. Myers
Respondent(s): Wells Fargo Advisors, Susan Robak
Respondent Lawyers(s): Rhonda A. Wilson
Arbitrator(s): George A. Abbott
Hearing Site: Omaha, NE
| | $163 |
| 11-03290 | 08/24/2012 | Claimant(s): Derrell Jones, Jane Jones, Derrell A. Jones Trust
Claimant Lawyers(s): Pat Huddleston
Respondent(s): Wells Fargo Advisors, Steven Baker
Respondent Lawyers(s): Keith J. Barnett
Arbitrator(s): Robert N. Leitch, David E. Morris, Richard Jonathan Nikonovich-Kahn
Hearing Site: Atlanta, GA
| | Stipulated Award and Expungement |
| 12-00960 | 08/24/2012 | Claimant(s): Ludger Brockmeier
Claimant Lawyers(s): Ludger Brockmeier
Respondent(s): Firstrade Securities Inc.
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | $22,156 |
| 11-02944 | 08/24/2012 | Claimant(s): Brenda Reber, John Reber
Claimant Lawyers(s): Richard Sacks
Respondent(s): David Bax, Loretta Cook, Richard Simpson, Walter Miller, Capital Growth Resources
Respondent Lawyers(s): David P. Bax, Lynne Rach
Arbitrator(s): Michael Dean, Thomas R. Watkins, Edwin John Apenbrink
Hearing Site: Las Vegas, NV
| | $0 |
| 10-03498 | 08/23/2012 | Claimant(s): Glenna Wylie, Jack Wylie, Glenna Y. Wylie Trust U/A/D 5/2/91, Jack F. Wylie Trust U/A/D 5/2/91
Claimant Lawyers(s): Gordon D. Gee
Respondent(s): Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Michael D. Fitzgerald, Bruce Keplinger, Ronald G. Bruch
Hearing Site: Kansas City, MO
| | $272,650 |
| 11-00709 | 08/23/2012 | Claimant(s): David Berman
Claimant Lawyers(s): David E. Robbins
Respondent(s): Christian Coluccio, Gregg Zeoli, Richard Cardinale, Empire Asset Management Company
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): James M. Baumann, Caryl D. Feldmann, Philip Florio
Hearing Site: New York, NY
| | $0 |
