| 12-01190 | 06/12/2012 | Claimant(s): Jeannette Freeman Shapiro Trust
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Andrew Kang, David Maurer, David Smith, Miles Benickes, Milford Stern, Randall Stern
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Howard B. Brown, Robert Alan Merring, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-05157 | 06/11/2012 | Claimant(s): Linda Bassin Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Norry Luria, FMS Bonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Linda M. Granata, Richard S. Zaifert, Michael T. Williams
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 10-00309 | 06/11/2012 | Claimant(s): Theresa Lillis, Theresa F. Lillis Living Trust
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
| | Stipulated Award |
| 11-00529 | 06/11/2012 | Claimant(s): Alice Muscara, Daniel Muscara
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Brad Chamness, Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Edward R. Niederriter, Gary King, Raymond Luis Leon
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-01607 | 06/11/2012 | Claimant(s): Amy Hollub, Harry Hollub
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): FMSbonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): John J. Hearn, Theodore Israel Herold, Jack Martin Coe
Hearing Site: Miami, FL
| | $0 |
| 11-04268 | 06/11/2012 | Claimant(s): Andrew Fogler
Claimant Lawyers(s): Edward W. Gasser
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | $325 |
| 10-04028 | 06/08/2012 | Claimant(s): Susan Biles, SGB Springfield, SGB-Landmark Towers LLC, SGB-Village at Old Trace LLC
Claimant Lawyers(s): David I. Lefkowitz
Respondent(s): James Franceus, Crown Capital Securities, L.P., Summit Financial Advisors.
Respondent Lawyers(s): Tanya Durkee Urbach
Arbitrator(s): R. Lee Smith, Paul R. Meyer, Harold J. Schleef
Hearing Site: Portland, OR
| | $5,793 |
| 11-04028 | 06/08/2012 | Claimant(s): Barbara Eccles
Claimant Lawyers(s): Robert S. Eccles
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Fred S. Pieroni
Hearing Site: New York, NY
| | $5,793 |
| 11-02238 | 06/08/2012 | Claimant(s): Raymer F. Maguire Trust
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Diana A. Weiner, Raymond E. Cornelius
Hearing Site: Orlando, FL
| | Expungement |
| 08-00687 | 06/08/2012 | Claimant(s): Cliff Cashman, David DeRose, Erik Langeland, James Colombo, Mike Colombo, Robert Wheless
Claimant Lawyers(s): Mark H. How
Respondent(s): Brandon Laxton, Matthew Fox, Texas Securities Partners.
Respondent Lawyers(s): Douglas C. Kittelson, Matthew W. Fox, Tony Morrison
Arbitrator(s): Louis J. Weber, Lawrence R. Maxwell, Robert G. Clark
Hearing Site: Dallas, TX
| | $0 |
