| 11-01218 | 04/05/2012 | Claimant(s): Robert Olson
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Michael Finnan, Paul Metz, Richard Pollan, Morgan Wilshire Securities.
Respondent Lawyers(s): Peter Dolan, Richard D. Pollan
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
|  | $45,000 |
| 09-01269 | 04/05/2012 | Claimant(s): Sara Byrd
Claimant Lawyers(s): William J. Gladden
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Charles F. Custer, Peter A. Scarpato, Lisa Blunk Johnson
Hearing Site: Nashville, TN
| | $0 |
| 10-03633 | 04/05/2012 | Claimant(s): Laurence Raybois, Peter Ratener, Thoreson-Vogel
Claimant Lawyers(s): John A. Bender
Respondent(s): Graham Williams, William Swayne, Pacific West Securities., WMS Financial Services, Williams Palmer
Respondent Lawyers(s): Daniel Lee
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Robert W. Pillitteri
Hearing Site: Seattle, WA
| | $0 |
| 10-05640 | 04/05/2012 | Claimant(s): Nathan Goodman
Claimant Lawyers(s): Nathan D. Goodman
Respondent(s): Scott Wick, RBC Capital Markets
Respondent Lawyers(s): Donald S. Arbour
Arbitrator(s): Gerald D. Wygant, G. E. Craig Doupe, Linda I. Thomas
Hearing Site: Helena, MT
| | $0 |
| 09-06667 | 04/04/2012 | Claimant(s): Colman McCarthy
Claimant Lawyers(s): John D. Singer
Respondent(s): Michael Byl, William Schloth, Southridge Investment Group LL
Respondent Lawyers(s): David E. Danovitch
Arbitrator(s): Carolyn A. Mann, Leah R. Marks, Sherri L. Hughes
Hearing Site: New York, NY
| | $780,100 |
| 11-03699 | 04/04/2012 | Claimant(s): Vinita Wadhwani, Vishin Wadhwani
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Wendy Robinson
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 10-03602 | 04/04/2012 | Claimant(s): Eiko Nernoff, John Nernoff
Claimant Lawyers(s): Steven R. Blair
Respondent(s): William Lex
Respondent Lawyers(s): Gilbert B. Abramson
Arbitrator(s): Daniel J. McCarthy, Peter A. Scarpato, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | $0 |
| 11-01699 | 04/04/2012 | Claimant(s): Gerard Fusco
Claimant Lawyers(s): Gerard Fusco
Respondent(s): Ameriprise Financial Services., James Gioia
Respondent Lawyers(s): LaToyia K. Pierce
Arbitrator(s): William M. Lacy, Leonard J. Sullivan, Alan M. Holzberg
Hearing Site: Houston, TX
| | $0 |
| 09-03913 | 04/03/2012 | Claimant(s): Marvin Getlan
Claimant Lawyers(s): Michael Amad
Respondent(s): Wachovia Securities, UBS Financial Services Inc.
Respondent Lawyers(s): Keith Olin, Tracy L. Gerber
Arbitrator(s): Linda M. Granata, Norman L. Weiss, Gustavus L. Pearthree
Hearing Site: Boca Raton, FL
| | Expungement |
| 07-00666 | 04/02/2012 | Claimant(s): Alan Grayson, AMG Trust
Claimant Lawyers(s): Eric M. Rolinson, Tucker H. Byrd
Respondent(s): Wachovia Securities
Respondent Lawyers(s): David A. Picon
Arbitrator(s): Richard K. Wilson, Gary F. Lang, Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $852,000 |
