| 10-03052 | 07/30/2012 | Claimant(s): Isabel Giacomantonio, Isabel Giacomantonio IRA, Isabel Giacomantonio Trust dtd 10/13/09
Claimant Lawyers(s): Joseph S. Spiegel
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Robert Morian
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Barry Goldman, Norman A. Samson, Benjamin A. Kerner
Hearing Site: Detroit, MI
|  | $49,500 |
| 11-00086 | 07/30/2012 | Claimant(s): James Little, Susan B. Little Family Trust
Claimant Lawyers(s): P. Michael Yancey
Respondent(s): Richard Thayer, Ronald Lankford, William Stevens, First Legacy Securities, The Legacy Financial Group.
Respondent Lawyers(s): Adam K. Israel, Henry E. Walker, Henry Walker, Ronald W. Lankford, William Slay Stevens
Arbitrator(s): Gloria J Liddell, James Francis Donovan, J. Wesley Romine
Hearing Site: Birmingham, AL
| | $835,000 |
| 11-00263 | 07/30/2012 | Claimant(s): C & H Properties., Calvert-Spradling Engineers., Robert L. Calvert Consulting.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Peter D. Ehrenhaft, Brian Patrick Quinn
Hearing Site: Jackson, MS
| | Dismissed by Rule 12206 |
| 11-01674 | 07/30/2012 | Claimant(s): Sidney Steinberg
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Harold S. Stern, Steven E. Eisenberg, Mark J. McCarthy
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02012 | 07/30/2012 | Claimant(s): Wallace Ward
Claimant Lawyers(s): August M. Iorio
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): A. Inge Selden
Arbitrator(s): Jennifer L. Bliss
Hearing Site: Buffalo, NY
| | Expungement |
| 11-00411 | 07/27/2012 | Claimant(s): Eileen Warren
Claimant Lawyers(s): Ronald R. Levine
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Dennis Perry, Judith Bovitz, Victoria Miller
Respondent Lawyers(s): Yoonsun Chung
Arbitrator(s): Charles Kleinbaum, Catherine Ladnier, Stephen T. Rodriguez
Hearing Site: Albany, NY
| | Expungement |
| 11-01060 | 07/27/2012 | Claimant(s): Renee Alster
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Monica I. Salis, Edward R. Niederriter, Antonio M. Freire
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02945 | 07/26/2012 | Claimant(s): Fred Prudhomme
Claimant Lawyers(s): James A. McGurk
Respondent(s): Arnold Janickas, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ray J. Grzebielski, Caroline N. Harney, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $140,300 |
| 11-03007 | 07/26/2012 | Claimant(s): Linda Baker, Thomas Baker
Claimant Lawyers(s): C. Maison Heidelberg, Ginny Y. Kennedy
Respondent(s): Wachovia Securities Financial Network, Wachovia Securities
Respondent Lawyers(s): David A. Picon, Erin Durba
Arbitrator(s): Robert D. Sussin, John E. Ohashi, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 10-02616 | 07/25/2012 | Claimant(s): Pinnacle Investments
Claimant Lawyers(s): David L. Ward
Respondent(s): Anastasia Tkatschow, George Koulouris
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Richard A. Scalfani, Stephen P. LaLonde, Edmund Viele
Hearing Site: Syracuse, NY
| | $0 |
