| 10-02350 | 06/08/2012 | Claimant(s): Ida Rodriguez, Jose Colon
Claimant Lawyers(s): Marie Elsie Lopez Adames
Respondent(s): Alberto Castaner, Jorge Rodriguez, Kyrsis Marrero, Popular Securities.
Respondent Lawyers(s): Heidi Rodriguez-Benitz
Arbitrator(s): Mark C. Perry
Hearing Site: San Juan, PR
|  | $0 |
| 11-02949 | 06/08/2012 | Claimant(s): Barbara North
Claimant Lawyers(s): Barbara R North
Respondent(s): James Flynn, Morgan Stanley
Respondent Lawyers(s): James F. Flynn, Thomas Briody
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
| | $0 |
| 10-00711 | 06/07/2012 | Claimant(s): Robert Fox
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
| | Stipulated Award |
| 11-00670 | 06/07/2012 | Claimant(s): Francis Bolduc
Claimant Lawyers(s): Eric M. Rolinson
Respondent(s): Wells Fargo Advisors, Susan Baiocco
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Stuart K. Furman, Greg Knight, Jack A. Helms
Hearing Site: Orlando, FL
| | Expungement |
| 11-01425 | 06/07/2012 | Claimant(s): Estate of Richard Taggart, Taggart Estate Planning Trust
Claimant Lawyers(s): David Gaba
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James A. Vawter, G. E. Craig Doupe, Joan Helen Lukasik
Hearing Site: Seattle, WA
| | $548,960 |
| 11-00771 | 06/07/2012 | Claimant(s): Dorothy Wakley, James Wakely
Claimant Lawyers(s): David G. Lutz
Respondent(s): UBS Financial Services Inc., William Avery
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Marvin I. Horowitz, Jennifer Ann Shandler, Seth H. Barsky
Hearing Site: Detroit, MI
| | $0 |
| 10-05780 | 06/06/2012 | Claimant(s): The Heater Family Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): William M. Turner
Arbitrator(s): William E. Schneider, Ronald F. Rybandt, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00486 | 06/06/2012 | Claimant(s): Steven Smith as Personal Representative
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Helen E. Huyler, Walter J. Wylie, Dana R. Krajack
Hearing Site: Columbia, SC
| | Expungement |
| 11-01036 | 06/06/2012 | Claimant(s): Kawaljit Bedi, Ravinder Bedi
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Susan B. Gans-Smith, Thanayi J. Lindsey, Daniel Su
Hearing Site: Los Angeles, CA
| | $141,250 |
| 10-04064 | 06/06/2012 | Claimant(s): Warren Messier
Claimant Lawyers(s): Bruce A. Assad
Respondent(s): Henry Mello, Banc of America Investment Services Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): John Joseph Cotter, Nickolas F. Monteforte, Joseph Charles Kennedy
Hearing Site: Providence, RI
| | $0 |
