| 11-01908 | 08/02/2012 | Claimant(s): Guadalupe Bernal
Claimant Lawyers(s): William J. Risner
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Casey L. Moore
Arbitrator(s): Robert S. Mautner
Hearing Site: Phoenix, AZ
|  | $0 |
| 11-02923 | 08/02/2012 | Claimant(s): Barbara Hasting, David O'Harrow, Dennis Sager, Jozef Alena, Kim Sager, Marvin Hasting, Velma Byers, Living Trust U/A/D 10/14/91 FBO Marvin D
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Ingrid Gintz, Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Jack M. Lovejoy
Arbitrator(s): Thomas D. Cochran, William P. Bergsten, Michael R.E. Sanders
Hearing Site: Seattle, WA
| | $600 |
| 09-03120 | 08/01/2012 | Claimant(s): Municipal Workers Compensation Fund Inc.
Claimant Lawyers(s): Peter Mougey
Respondent(s): Morgan Keegan & Company., Morgan Asset Management.
Respondent Lawyers(s): George D. Sullivan, S. Lawrence Polk
Arbitrator(s): Eric Howard Kunis, William F. Julavits, Patricia A. DeWitt
Hearing Site: Birmingham, AL
| | $0 |
| 11-02911 | 08/01/2012 | Claimant(s): Estate of Helen Marsh Exec. Wiliam Hass
Claimant Lawyers(s): Alan L. Frank
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth J. Haim
Arbitrator(s): E. William Pastor
Hearing Site: Philadelphia, PA
| | $0 |
| 12-00393 | 08/01/2012 | Claimant(s): Ramin Modiri, Tahmineh Modiri
Claimant Lawyers(s): Ramin Modiri
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): James S. Martin
Hearing Site: San Francisco, CA
| | $0 |
| 08-01038 | 07/31/2012 | Claimant(s): Alvin Shnider, The Alvin Shnider Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Damien Berkowicz
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Norman A. Samson, Jacqueline R. Fox, Gerald W. Hepp
Hearing Site: Detroit, MI
| | Expungement |
| 11-01096 | 07/31/2012 | Claimant(s): Karen Sallerson, Ronald Sallerson
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
| | Expungement |
| 11-03721 | 07/31/2012 | Claimant(s): Corery Price
Claimant Lawyers(s): Corery L. Price
Respondent(s): ING Direct Investing.
Respondent Lawyers(s): C. Dean Little
Arbitrator(s): Bill Swinford, Hugh J. Moore, Mary Neil Price
Hearing Site: Nashville, TN
| | $0 |
| 11-04012 | 07/31/2012 | Claimant(s): Laila Assouassi
Claimant Lawyers(s): Laila Assouassi
Respondent(s): Trade Monster
Respondent Lawyers(s): Michael Albino
Arbitrator(s): John B. Kinsellagh
Hearing Site: Boston, MA
| | $0 |
| 09-06282 | 07/30/2012 | Claimant(s): Arlene Scanlan
Claimant Lawyers(s): Steven L. Manchel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Evelyn Bukchin
Arbitrator(s): Joseph J. Arata, Ernesto V. Luzzatto, Scott W. Mulford
Hearing Site: New York, NY
| | $150,000 |
