| 11-03838 | 05/31/2012 | Claimant(s): Ira Levine
Claimant Lawyers(s): Ira Levine
Respondent(s): Charles Matisi, Robert Brunetti
Respondent Lawyers(s): Charles Michael Matisi, Robert GIno Brunetti
Arbitrator(s): Michael H. DuBoff
Hearing Site: New York, NY
|  | Expungement |
| 10-03335 | 05/31/2012 | Claimant(s): Lionel Winograd
Claimant Lawyers(s): Lionel Winograd
Respondent(s): David Powers, Citigroup Global Markets., Lisa Brandes
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Sheldon M. Finkelstein, Donald C. Geiszler, Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 11-04126 | 05/31/2012 | Claimant(s): Howard Adkins
Claimant Lawyers(s): Howard M. Adkins
Respondent(s): David Wylie, Kenneth Nadeau, New England Securities
Respondent Lawyers(s): William Zeena
Arbitrator(s): Beverly S. Gordon
Hearing Site: Tampa, FL
| | $163 |
| 09-07024 | 05/30/2012 | Claimant(s): Eric Snyder, Barbara G. Snyder and Eric P. Snyder
Claimant Lawyers(s): Martin Q. Ryan
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Michael J. Ahlstrom, Clare R. Goldfarb, Jeannie B. Wright
Hearing Site: Atlanta, GA
| | Expungement |
| 11-00494 | 05/29/2012 | Claimant(s): Barnard Lewis Family Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Chase Investment Services Corp., WAMU Investments.
Respondent Lawyers(s): Erika Imre Schindler, Joseph S. Simms
Arbitrator(s): Herbert Liberman, Amy Seltzer, Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01972 | 05/29/2012 | Claimant(s): Bill Loomis, Sharon Loomis, Bill Loomis IRRA
Claimant Lawyers(s): Chris Bell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Casey L. Moore
Arbitrator(s): Juanita D. McKethan, Larry J. Craddock, Martin Epner
Hearing Site: Houston, TX
| | Expungement |
| 09-06411 | 05/25/2012 | Claimant(s): Jerry Tillman, Mary Hazlewood, Michael Hazlewood, Beverly Baker and Bernice Heaton, Norman E. and Jo Ann Hughes, Virginia A. Tillman Rev Living Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Patrick J. Halter, Jonathan Burke Rada, Jonathan B. Gilbert
Hearing Site: Memphis, TN
| | Expungement |
| 10-00862 | 05/25/2012 | Claimant(s): Nicholas D'Angelo and Josephine D'Angelo
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Diana A. Weiner
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-01274 | 05/25/2012 | Claimant(s): Hector Sanchez and Lourdes M. Sanchez
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Muriel Desloovere, Thomas F. Icard, Leslie Reese Murtagh
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-04042 | 05/25/2012 | Claimant(s): Dalia Jakas
Claimant Lawyers(s): Michael M. Steinmetz
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Michael R. Weissmann
Arbitrator(s): Michael E. Scullin, Walter R. Milbourne, Catherine S. Kopley
Hearing Site: Philadelphia, PA
| | Expungement |
