| 10-05719 | 06/27/2012 | Claimant(s): Paul Cohnen A/R Family Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Douglas McPherson, J.P. Morgan Securities, Michael Kilkeary
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Frances D. Sheehy, Harvey Alan Blicksilver, Harold S. Stern
Hearing Site: Boca Raton, FL
|  | $0 |
| 11-01229 | 06/27/2012 | Claimant(s): David Yamamoto, Mary Yamamoto
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Elaine Sikorski, Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | $150 |
| 11-03743 | 06/26/2012 | Claimant(s): Ronald Vulcano
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): AXA Advisors
Respondent Lawyers(s): Eileen Stassa
Arbitrator(s): Stuart M. Schwartz, Howard B. Cohen, Carl J. Disalvatore
Hearing Site: Syracuse, NY
| | $0 |
| 11-01017 | 06/25/2012 | Claimant(s): 4R Partnership, by Jon Roberts, Partner, C. Marvin Trust, Trustee
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): David Schrager, Woodstock Financial Group.
Respondent Lawyers(s): Thomas Vays
Arbitrator(s): James E. Michaels, James A. Hayes, Ken L. Andersen
Hearing Site: Omaha, NE
| | $75,000 |
| 11-01511 | 06/25/2012 | Claimant(s): John Kennedy
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Robert J. Kheel
Hearing Site: New York, NY
| | $0 |
| 11-04473 | 06/22/2012 | Claimant(s): Optionshouse
Claimant Lawyers(s): Lelsey G. Smith
Respondent(s): Joseph Gottesman
Respondent Lawyers(s): Joseph Gottesman
Arbitrator(s): Robert L. Spangler, Andrew J. Gerber, Barbara Antonello Mentz
Hearing Site: New York, NY
| | $0 |
| 10-00863 | 06/22/2012 | Claimant(s): John A. Boccio and Barbara Boccio
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krouse
Arbitrator(s): Richard J. Fuller
Hearing Site: Orlando, FL
| | Stipulated Award |
| 11-00915 | 06/22/2012 | Claimant(s): Grace Seitz, Harry Seitz
Claimant Lawyers(s): Nicholas A. Miller
Respondent(s): Kimberly Fleming, Maryann Siebert, Hefren & Tillotson., Hefren-Tillotson.
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Jeffrey M. Bain, Michael S. Berman, George H. Perich
Hearing Site: Pittsburgh, PA
| | Expungement |
| 11-01606 | 06/22/2012 | Claimant(s): Frances Detraz
Claimant Lawyers(s): Jessica Vasquez
Respondent(s): Banc One Securities Corporation
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Charles A. Crocco, John R. Buehler, William W. Bride
Hearing Site: New Orleans, LA
| | Expungement |
| 09-04546 | 06/22/2012 | Claimant(s): Soheil Davood
Claimant Lawyers(s): Soheil Davood
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Blaine Smith, Elizabeth A. Copley, Ronald E. Malmfeldt
Hearing Site: Los Angeles, CA
| | $0 |
