| 11-04015 | 04/27/2012 | Claimant(s): Thomas Buoneto, IRA
Claimant Lawyers(s): Thomas Buoneto
Respondent(s): Wells Fargo Advisors, Peter Smith
Respondent Lawyers(s): William S. Port
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
|  | $0 |
| 10-03792 | 04/26/2012 | Claimant(s): Ashley Furniture Industries.
Claimant Lawyers(s): Jennifer A. Waters
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jonathan K. Youngwood
Arbitrator(s): Terry F. Peppard, David J. Hase, Victor A. Shier
Hearing Site: Milwaukee, WI
| | $1,900,000 |
| 10-04152 | 04/26/2012 | Claimant(s): Alex DiSchino, Christopher DiSchino, Cosmo DiSchino, Alex DiSchino CUS Cosmo DiSchino, Cosmo DiSchino & Christopher DiSchino
Claimant Lawyers(s): Jane W. Muir
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa. B. Dodge
Arbitrator(s): Myron S. Dunay
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-05479 | 04/26/2012 | Claimant(s): Frank Criscola
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Daniel Robbins, Herman Taub, Howard Weitz
Hearing Site: New York, NY
| | $159,902 |
| 11-00681 | 04/26/2012 | Claimant(s): Beth Turkel
Claimant Lawyers(s): Richard De Vita
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | Expungement |
| 10-02643 | 04/26/2012 | Claimant(s): Caron Masucci, Douglas Masucci
Claimant Lawyers(s): Joseph C. Korsak
Respondent(s): Morgan Stanley, William Crumrine
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Edward T. Borer, Marshall S. Galinsky, Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 10-00676 | 04/25/2012 | Claimant(s): Barbara O'Donnell, James O'Donnell
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Paul Sidney Elliott, JD
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-02073 | 04/25/2012 | Claimant(s): Frances Dalmau, Julius Dalmau
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
| | Stipulated Award |
| 10-02584 | 04/25/2012 | Claimant(s): Karabi Sinha
Claimant Lawyers(s): Barry R. Lax
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Cynthia H. Plishtin, Robert E. Anderson, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | $154,479 |
| 11-01945 | 04/25/2012 | Claimant(s): Thurman Ross
Claimant Lawyers(s): Jeffrey B Kaplan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Simone Sicola, Kenneth J. Bennett, Susan Jefferbaum Beck
Hearing Site: Jacksonville, FL
| | Stipulated Award and Expungement |
