| 11-01473 | 05/25/2012 | Claimant(s): Manfred Wetzel
Claimant Lawyers(s): Manfred Wetzel
Respondent(s): Paul Levi
Respondent Lawyers(s): Paul Levi
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
|  | $183,155 |
| 11-01909 | 05/25/2012 | Claimant(s): Rose Kramer, Stanley Kramer, DRG Hendersonville TIC 13 LLC, TIC Ren Meadowlands 31, Mayer & Rose Kramer Inter Vivos Trst Ame, Mayer & Rose Kramer Inter Vivos Trust
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Amy Grindstaff, Dale Hall, David Smith, Jeffrey Pridey, Kathleen Heshelow, Larry Behrends, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities., MAM Securities
Respondent Lawyers(s): Corporate Officer, David L. Smith, H Thomas Fehn, Keith E. Grindstaff, Larry Ivan Behrends, Robert C. Rosen
Arbitrator(s): Vincent J. Natoli, Robert F. Saint-Aubin, W. Alex King
Hearing Site: Los Angeles, CA
| | $334,000 |
| 11-01825 | 05/25/2012 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ian Kass, Delaney Equity Group Llc, Penson Financial Services.
Respondent Lawyers(s): David R. Chase, Mark Cuccaro
Arbitrator(s): Harvey Alan Blicksilver, Philip L. Manczak, Stefano Ferruggia
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 11-03094 | 05/25/2012 | Claimant(s): DCG & T FBO Elliott Zimmerman/IRA Elliot
Claimant Lawyers(s): Elliott Zimmerman
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $225 |
| 10-02590 | 05/24/2012 | Claimant(s): Helen Wald, Laureen Arena
Claimant Lawyers(s): Armand Salese
Respondent(s): Wells Fargo Advisors, Stephen Schneider
Respondent Lawyers(s): Jesse B. Simpson
Arbitrator(s): Joe S. Tarrer, Brian L Evans, Rickey Ray Pate
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-04885 | 05/24/2012 | Claimant(s): Laurie R. Rubin Inc., The Cole Sirott Goldenburg Cust. Acct., Laurie Rubin Revocable Trust
Claimant Lawyers(s): Lawrence W. Byrne
Respondent(s): Raymond James Financial Services., Raymond, James & Associates., Richard Barnard
Respondent Lawyers(s): Terrance A Bostic
Arbitrator(s): Robert L. Agusto
Hearing Site: Chicago, IL
| | $518,204 |
| 11-02505 | 05/24/2012 | Claimant(s): Barbara Roberts, Joe Roberts, Joe D. Roberts IRA
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins, Judy Louie
Arbitrator(s): Joseph C. Watson, Robert Allan Klein, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03123 | 05/24/2012 | Claimant(s): Ann Kautzmann
Claimant Lawyers(s): Ann Kautzmann
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Alan Shaw
Hearing Site: Newark, NJ
| | $0 |
| 11-03599 | 05/24/2012 | Claimant(s): Rhonda Lonardo
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jay Fischer
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): David Rich
Hearing Site: Boca Raton, FL
| | $319 |
| 10-00312 | 05/23/2012 | Claimant(s): Frances Minneci, Philip Minneci
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): H. Steven Holtzman
Hearing Site: Tampa, FL
| | Stipulated Award |
