| 11-00105 | 05/21/2012 | Claimant(s): Robin Hennessy, Robin Joan Hennessy IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Richard Megorden, IFG/Russell Advisors.
Respondent Lawyers(s): Marianne Johnston
Arbitrator(s): John Russell Barlow, Rudolph Andrew Bata, John G. Shamp
Hearing Site: Charlotte, NC
|  | Expungement |
| 11-00723 | 05/21/2012 | Claimant(s): Dianna Crossman
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wells Fargo Advisors, Cynthia Kines
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Cheryl E. Winton, Richard F. Lang, David Rich
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-04228 | 05/21/2012 | Claimant(s): Joseph A. Graziose & Florence M. Hechtel
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): Alvin Green
Hearing Site: New York, NY
| | $24,875 |
| 09-07217 | 05/18/2012 | Claimant(s): Edward Clark
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-00054 | 05/18/2012 | Claimant(s): Kelvin Banfield
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Christopher M. Shulman
Hearing Site: Orlando, FL
| | Stipulated Award |
| 10-00144 | 05/18/2012 | Claimant(s): Judith Hughes, William Hughes, Hughes Family Revoc. Living Trust
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Langfred W. White
Hearing Site: Tampa, FL
| | Stipulated Award |
| 11-00741 | 05/18/2012 | Claimant(s): Michael Mosesson
Claimant Lawyers(s): James A. McGurk
Respondent(s): Morgan Stanley, Cedar Creek Securities.
Respondent Lawyers(s): Gregory B. Simon, James A. McGurk
Arbitrator(s): Jerry D. Mc Cormack, P. J. Boylan, Deborah Jervis Fabritz
Hearing Site: Milwaukee, WI
| | $0 |
| 09-06361 | 05/17/2012 | Claimant(s): The Estate of George T. Arns, The Arns Family Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Frank Delli Carpini, Pershing LLC, UBS Financial Services Inc., Belle Haven Investments, L.P.
Respondent Lawyers(s): Amy B. Bard, Garry Lischin, Matthew Tracy
Arbitrator(s): Kinchen C. Bizzell, Saul Scheier, Ellyn S. Roth
Hearing Site: New York, NY
| | Expungement |
| 09-06734 | 05/17/2012 | Claimant(s): Johnetta Allen
Claimant Lawyers(s): Sandor L. Grossman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Douglas W. Hyman
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 11-02745 | 05/17/2012 | Claimant(s): Alice Potter
Claimant Lawyers(s): David Liebrader
Respondent(s): Lawrence Rasche
Respondent Lawyers(s): Jason D. Winter
Arbitrator(s): Thomas F. Shine, David C. Matthews, Alan E. Linden
Hearing Site: Orlando, FL
| | $0 |
