| 11-02791 | 08/09/2012 | Claimant(s): Ann Ballas, Jonathan Nimphie, Stefani de Laville, Ann T. Ballas IRA, Martina A. Nimphie Rev Trust
Claimant Lawyers(s): Garry W. O'Donnell
Respondent(s): Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): George L. Guerra
Arbitrator(s): Richard J. Kaplan, George H. Rausch, Mark I. Roth
Hearing Site: Boca Raton, FL
|  | $0 |
| 07-02782 | 08/08/2012 | Claimant(s): Bruce Lowen
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Thomas Solomon, Questar Capital Corporation
Respondent Lawyers(s): Julie H. Firestone, Thomas Solomon
Arbitrator(s): Edward M. Olson, Sal Presti, John Thomas Sepp
Hearing Site: Detroit, MI
| | $18,171 |
| 11-02625 | 08/08/2012 | Claimant(s): Fundamental Partnership, LTD
Claimant Lawyers(s): S. Cass Weiland
Respondent(s): Mark Mills
Respondent Lawyers(s): Mark Steven Mills
Arbitrator(s): Louis J. Weber
Hearing Site: Dallas, TX
| | $557,200 |
| 11-02793 | 08/08/2012 | Claimant(s): Candice Wind, Mike Wind
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Sabrina Raquel Scott
Hearing Site: Atlanta, GA
| | $30,450 |
| 11-02972 | 08/08/2012 | Claimant(s): Mildred Simonian
Claimant Lawyers(s): Richard A. Clack
Respondent(s): John Lunghino, Securities America., Wall Street Financial Group., First Metlife Investors Insurance Co.
Respondent Lawyers(s): Dennis C. Dice, Jessica Levine
Arbitrator(s): Jennifer L. Bliss
Hearing Site: Buffalo, NY
| | Expungement |
| 11-03938 | 08/08/2012 | Claimant(s): Adi Danous
Claimant Lawyers(s): Adi Danous
Respondent(s): Milkie/Ferguson Investments.
Respondent Lawyers(s): Henry J. Ackels
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
| | $25,425 |
| 11-04503 | 08/08/2012 | Claimant(s): Shirley Krieger
Claimant Lawyers(s): Shirley Krieger
Respondent(s): Ira Materetsky
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-00301 | 08/08/2012 | Claimant(s): Ann Wilson
Claimant Lawyers(s): Ann Pulford Wilson
Respondent(s): Chase Investment Services Corp., Geetika Mehrotra
Respondent Lawyers(s): Erika Imre Schindler
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03551 | 08/07/2012 | Claimant(s): Larry Smith, Larry Smith IRA, Donald G. Smith & Betty J. Smith, JTWROS
Claimant Lawyers(s): Donald G. & Betty J. Smith, Larry R. Smith, Larry Smith
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Amy C. Worrell
Arbitrator(s): Lester Friedman, Ralph H. Martin, Robert Charles Morrison
Hearing Site: Little Rock, AR
| | $28,569 |
| 11-01011 | 08/07/2012 | Claimant(s): Jack Goldsmith, FMTC Custodian IRA Rollover Provision FB
Claimant Lawyers(s): Vicki Kuftic Horne
Respondent(s): Fred Galovich, Galovich Financial Planning Services, WRP Investments.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Garry Lee Hogan, Jay H. Feldstein, Michael R. Stabile
Hearing Site: Pittsburgh, PA
| | $410,000 |
