| 11-03596 | 04/25/2012 | Claimant(s): Michael Shimon, Regina Shimon
Claimant Lawyers(s): Michael F. Shimon, Regina Ralene Shimon
Respondent(s): Craig Rumbaugh
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
|  | $1,450 |
| 07-03517 | 04/25/2012 | Claimant(s): Anna Vertkin
Claimant Lawyers(s): Mathew Martenyi
Respondent(s): E*Trade Securities LLC, Michael Vertkin
Respondent Lawyers(s): Meredith A. Felde, Michael Vertkin
Arbitrator(s): Herb Schwartz, James R. Dickson, Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $0 |
| 11-01683 | 04/25/2012 | Claimant(s): Paige Cornwell
Claimant Lawyers(s): Antony V. Trogan
Respondent(s): Andrew Scriver, Hantz Financial Services.
Respondent Lawyers(s): David J. Shea
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | $0 |
| 08-04526 | 04/24/2012 | Claimant(s): Dona Hannigan, Dona Lynn Hannigan Revocable Living Trus
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Christopher Ranney, Jennifer Himes, Kyle Kelly, Leia Farmer, Roxanne Brecek, Brecek & Young Advisors.
Respondent Lawyers(s): Elizabeth Lowery, Thomas J. Callaway
Arbitrator(s): George L. Tindall, Benjamin F. Breslauer, Valerie Lewis
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00298 | 04/24/2012 | Claimant(s): Marshall Caro, Indii.com USE
Claimant Lawyers(s): Marshall Caro
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): William G. Binckes, Harold I. Geringer, Richard Bemporad
Hearing Site: New York, NY
| | $0 |
| 09-07221 | 04/23/2012 | Claimant(s): Denise Fournier
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Beverly S. Gordon
Hearing Site: Tampa, FL
| | Stipulated Award |
| 10-02756 | 04/23/2012 | Claimant(s): SIG Real Estate Holdings.
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): William F. Glaser, Nicholas G. Dukas, Oliver J. Janney
Hearing Site: Tampa, FL
| | Expungement |
| 11-03984 | 04/23/2012 | Claimant(s): Suzan S. Amara and Ayman S. Amara
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $5,576 |
| 10-04559 | 04/23/2012 | Claimant(s): Leonard Narel, Linda Narel
Claimant Lawyers(s): Leonard Edward Narel
Respondent(s): Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Michael Waters
Arbitrator(s): Ralph H. Erickson
Hearing Site: Los Angeles, CA
| | $0 |
| 11-00511 | 04/23/2012 | Claimant(s): Mark Emden, Mark Jerome Emden Traditional IRA Acct.
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Kathryn M. Welsh, Jeffrey R Fuller, Gerald F. Gude
Hearing Site: Tampa, FL
| | $0 |
