| 11-01039 | 04/20/2012 | Claimant(s): Florence Pesce
Claimant Lawyers(s): Florence Pesce
Respondent(s): J.P. Morgan Securities, Banc One Securities Corporation
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Jeffrey M. Bain, Gregory P. Szuter, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
|  | $0 |
| 11-02796 | 04/20/2012 | Claimant(s): Alpine Optics.
Claimant Lawyers(s): Horst Stahl
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $0 |
| 11-03973 | 04/19/2012 | Claimant(s): Sandra LeCrone
Claimant Lawyers(s): Sandra K. LeCrone
Respondent(s): Brandon Becker
Respondent Lawyers(s): Carranza M. Pryor
Arbitrator(s): Richard H. Potter
Hearing Site: Raleigh, NC
| | $63 |
| 11-02343 | 04/18/2012 | Claimant(s): Dorothy Bruss, Leo Bruss
Claimant Lawyers(s): Jan K. Kitchel
Respondent(s): Lee Gold, Steven Simone
Respondent Lawyers(s): Lee Alexander Gold, Steven John Simone
Arbitrator(s): Robert S. Banks, Mark A. Friel, John Goble Crawford
Hearing Site: Portland, OR
| | $226,576 |
| 12-00389 | 04/18/2012 | Claimant(s): Sandra Robinson
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Richard Schmerman
Respondent Lawyers(s): Richard Mark Schmerman
Arbitrator(s): Jerome K. Altshuler
Hearing Site: Phoenix, AZ
| | $538,390 |
| 10-05530 | 04/17/2012 | Claimant(s): Patricia Sturgis, Revocable Grantor Trust of June M. Davis
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Securities Service Network.
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Paul M. Foster, Julius Z. Frager, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | Expungement |
| 11-00185 | 04/17/2012 | Claimant(s): Rosetta Salzman Revocable Living Trust
Claimant Lawyers(s): Kurt J. Schafers
Respondent(s): Wells Fargo Advisors, Mary Paulin, Robert Laegeler
Respondent Lawyers(s): Gardiner B. Davis
Arbitrator(s): Michael S. Hill, David B. Lacks, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $61,894 |
| 11-00984 | 04/17/2012 | Claimant(s): Elaine Stone, Lawrence Stone
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): William J. Bender, Kim D. Stephens, Dante Lee Montoya
Hearing Site: Seattle, WA
| | $112,181 |
| 10-05205 | 04/17/2012 | Claimant(s): John Somers
Claimant Lawyers(s): Albert A DeNapoli
Respondent(s): John Sexton, Steven Rabinovici, William Moreno
Respondent Lawyers(s): Todd A Zuckerbrod, Todd A. Zuckerbrod
Arbitrator(s): Howard I. Wilgoren, Edward Aptaker, Maxwell J. Mahoney
Hearing Site: Boston, MA
| | $0 |
| 11-01493 | 04/16/2012 | Claimant(s): David Swayze
Claimant Lawyers(s): Edward J. Duffy
Respondent(s): Catherine Hutton, Michael Young, The Huntington Investment Company
Respondent Lawyers(s): Catherine Marie Hutton, Douglas R. Jennings
Arbitrator(s): Louis V. Imundo, Karen Yvonne Preston, Kathleen P. Helbig-Hannan
Hearing Site: Columbus, OH
| | $2,262 |
