| 10-05367 | 05/04/2012 | Claimant(s): William Condon
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Reuven Enterprises Sec. Division
Respondent Lawyers(s): Michael Huberman
Arbitrator(s): Robert W. Vernon, Anita Rae Shapiro, James M. Goldberg
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-00973 | 05/04/2012 | Claimant(s): Chhaganbhai Patel, Jashuben Patel
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Naveen Bhagwani, Shondeep Balchandani
Respondent Lawyers(s): Naveen K. Bhagwani, Shondeep Sajan Balchandani
Arbitrator(s): Bill Swinford, Bernard D. Leachman, William Phillip Emrick
Hearing Site: Louisville, KY
| | $1,027,600 |
| 10-03793 | 05/04/2012 | Claimant(s): Gerardo Gerson, Rivadavia S.A.
Claimant Lawyers(s): Quinn Smith
Respondent(s): UBS Financial Services Inc., Olga Pereira
Respondent Lawyers(s): Andrew Sidman, Jeffrey L. Bernfeld
Arbitrator(s): Jeffrey R. Roth, Renaldy Jose Gutierrez, Alisa Matire
Hearing Site: Miami, FL
| | $0 |
| 11-00571 | 05/04/2012 | Claimant(s): Dennis Herman
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Cheryl Black, Harold Eylward, J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Edward Baer, James M. Baumann, Ann C. Northern
Hearing Site: New York, NY
| | $0 |
| 11-02609 | 05/04/2012 | Claimant(s): Shine Capital Corporation
Claimant Lawyers(s): Vivian R. Drohan
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Arthur D. Felsenfeld
Arbitrator(s): William A. Hohauser, Martin H. Zern, Evan L. Gordon
Hearing Site: New York, NY
| | $0 |
| 11-03941 | 05/02/2012 | Claimant(s): Neema Nourian
Claimant Lawyers(s): Neema Nourian
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | $163 |
| 10-04330 | 05/01/2012 | Claimant(s): Julie Johnson, Stephen Johnson
Claimant Lawyers(s): J. Brent Welker, Jack Klausner
Respondent(s): David Theis
Respondent Lawyers(s): Charles R. Berry
Arbitrator(s): Harry Hamilton Herts, Robert S. Mautner, Steven Martin Helm
Hearing Site: Phoenix, AZ
| | $35,000 |
| 11-01249 | 05/01/2012 | Claimant(s): William Garvey
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Mark Powell, Lighthouse Capital Corporation
Respondent Lawyers(s): Jonathan Schwartz, Robert John Zamecki
Arbitrator(s): William Ziering, Mary Margaret Bush, Stewart H. Foreman
Hearing Site: San Francisco, CA
| | $100,000 |
| 11-01845 | 05/01/2012 | Claimant(s): James Johnson
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Todd Bauerle, Bauerle Financial.
Respondent Lawyers(s): Jeffrey B. Kelvin, Compliance Consultant, Kirk T. Bauer
Arbitrator(s): Stuart K. Furman, Joseph John Mantione, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $7,500 |
| 11-01283 | 05/01/2012 | Claimant(s): Rita Lenda, Rita F. Lenda IRA
Claimant Lawyers(s): Edward J. Dovin
Respondent(s): Edwin Lenda, Morgan Stanley
Respondent Lawyers(s): John L. Castelly
Arbitrator(s): Gary J. Leshaw, Harvey R. Linder, Floyd W. McRae
Hearing Site: Atlanta, GA
| | $300 |
