| 10-03591 | 03/29/2012 | Claimant(s): Carlos Conde and Pamela Conde
Claimant Lawyers(s): Francis T. Pagan
Respondent(s): UBS Financial Services Inc., Wilson Colberg
Respondent Lawyers(s): Guillermo J. Bobonis, Roberto C. Quinones-Rivera
Arbitrator(s): William G. Binckes, David J. Pine, Martin A. Edelstein
Hearing Site: New York, NY
|  | Expungement |
| 10-03652 | 03/29/2012 | Claimant(s): Louis Delmauro, Renee Delmauro
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | Expungement |
| 10-04192 | 03/29/2012 | Claimant(s): Annie Zeigon, James Zeigon
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Sara B. Brody
Arbitrator(s): Jeffrey M. Allen, Norman S. Nayfach, Edward J. Harkins
Hearing Site: San Francisco, CA
| | $870,632 |
| 11-00479 | 03/29/2012 | Claimant(s): Mickey Schwarz, Mickey Schwarz IRA, The Schwarz Living Trust
Claimant Lawyers(s): Marc Schwarz, Mickey Schwarz
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Martin Olinick, Ronald L. Cameron, David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00974 | 03/29/2012 | Claimant(s): Chris Funnell
Claimant Lawyers(s): David Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | Expungement |
| 11-02768 | 03/29/2012 | Claimant(s): Valerie F. Shipman, IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
| | $0 |
| 11-00189 | 03/28/2012 | Claimant(s): Steven Nadeau
Claimant Lawyers(s): Christopher D. Kaye
Respondent(s): Jason Ganton, John Orlando, Emmett A Larkin Company., Melvin Peterson
Respondent Lawyers(s): David J. Feingold
Arbitrator(s): Jeffry M. Bauer, Raymond J. Sterling, Roman S. Gribbs
Hearing Site: Detroit, MI
| | $69,000 |
| 09-04371 | 03/28/2012 | Claimant(s): Kelly Dunne
Claimant Lawyers(s): Charles W. Brower
Respondent(s): Russell Ruffino, Ruffino & Associates., Transamerica Financial Advisors.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Sandra L. Malek, John Alen DeRosa, David L. Maislen
Hearing Site: Los Angeles, CA
| | $0 |
| 11-00259 | 03/28/2012 | Claimant(s): Kenneth White
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Cuna Brokerage Services.
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | $0 |
| 08-03389 | 03/27/2012 | Claimant(s): GameTech International.
Claimant Lawyers(s): Robert B. Bieck
Respondent(s): Lars Jacobson, Roland Hansalik
Respondent Lawyers(s): Philip E. Cook, Philip Cook
Arbitrator(s): Herbert Liberman, Robert G. Miller, David R. Finch
Hearing Site: Reno, NV
| | Expungement |
