| 11-03798 | 05/01/2012 | Claimant(s): W. Mayhue
Claimant Lawyers(s): W. Paul Mayhue
Respondent(s): Pershing Advisor Solutions LLC
Respondent Lawyers(s): Jane L. Myers
Arbitrator(s): Stuart Sinai
Hearing Site: Detroit, MI
|  | $0 |
| 11-00703 | 04/30/2012 | Claimant(s): The Estate of Beverly Erickson
Claimant Lawyers(s): Stephen Patrick Doyle
Respondent(s): Oppenheimer & Co.., Robert Long
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Joan L. Volz, Debra Jean Griebel, John D. Campion
Hearing Site: Minneapolis, MN
| | $100,000 |
| 10-04433 | 04/27/2012 | Claimant(s): Paul Daffer
Claimant Lawyers(s): Paul Daffer
Respondent(s): Shawn Mangum, William Mouat, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Justine Fischer, R. Lee Smith, Bernard F. Vail
Hearing Site: Portland, OR
| | $0 |
| 10-05313 | 04/27/2012 | Claimant(s): Garrison Family LLC, Charlotte Garrison Trst FBO MarkGarrison, Charlotte Garrison Trust FBO LesaNeugent, Charlotte L Garrison Exempt Marital Trst, Charlotte L. Garrison Marital Trust, Jack M. Garrison Survivor's Trust, Rev Trust of Jack and Charlotte Garrison
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Wells Fargo Investments, Jean Adams, Rebbie Thomas
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): Laurie E. Law, Kevin I. Patrick, Charles Scott McClellan
Hearing Site: Seattle, WA
| | $0 |
| 11-02366 | 04/27/2012 | Claimant(s): Hunter McKenney
Claimant Lawyers(s): L. Bruce McDaniel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Wayne Parker, Michael E. Weddington, Lane A. Fentriss
Hearing Site: Raleigh, NC
| | $0 |
| 10-02055 | 04/27/2012 | Claimant(s): Ronald Phillips
Claimant Lawyers(s): Richard B Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Ralph S. Paden, John D. Mattingly, John G. Shamp
Hearing Site: Columbia, SC
| | Expungement |
| 10-02727 | 04/27/2012 | Claimant(s): Damien Moore
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Ronald N. Roth, William L. Erwin, Sally G. Williams
Hearing Site: San Diego, CA
| | Expungement |
| 10-05035 | 04/27/2012 | Claimant(s): Robert Gaynor, Custodial Or Education Savings Acct, Robert S. Gaynor IRA, Robert S. Gaynor Special Account
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): William M. Koziol, Philip J. Glick, Michael R. Sherwin
Hearing Site: Chicago, IL
| | Expungement |
| 10-05820 | 04/27/2012 | Claimant(s): Surendra Gupta
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Frederick Michael Switzer, Robert J. Bohle, David F. Barrett
Hearing Site: St. Louis, MO
| | Expungement |
| 11-03184 | 04/27/2012 | Claimant(s): Barry Adelman
Claimant Lawyers(s): Joseph E. Kluger
Respondent(s): John Gager, Thomas Schorn, First Allied Securities.
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Philadelphia, PA
| | $25,425 |
