| 10-05167 | 03/27/2012 | Claimant(s): Carmine Aufiero, Claudia Aufiero
Claimant Lawyers(s): Carole R. Bernstein
Respondent(s): Chester Payne, Hayes Brown, Jennifer Holloman, Triad Advisors.
Respondent Lawyers(s): Hayes Samuel Brown, Jennifer Anne Holloman, Mark J. Astarita
Arbitrator(s): Jack Friedman, John A. Astorina, Madelon M. Rosenfeld
Hearing Site: New York, NY
|  | $250,300 |
| 11-03235 | 03/27/2012 | Claimant(s): Ellen Sides, Kim Sides, Ellen Sides UTMA Austin Sides 30939003, Ellen Sides UTMA Kimberly Sides 30938997, Ellen Sides UTMA Lauren Sides 30938963
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Richard L. Merkel
Hearing Site: Atlanta, GA
| | $25,425 |
| 11-00535 | 03/26/2012 | Claimant(s): Jeffrey Brown
Claimant Lawyers(s): Jeffrey L. Brown
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Leonard Waldmann
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Dennis R. Frohlich
Hearing Site: Denver, CO
| | Stipulated Award and Expungement |
| 11-00870 | 03/26/2012 | Claimant(s): Doxa Family Partnership, L.P., Emily A. Schwarz Rev Living Trust, George Weber Jr. Trust etc.
Claimant Lawyers(s): Ronald B. Ziegler
Respondent(s): LPL Financial LLC, Peter Reinecke
Respondent Lawyers(s): Donald J. Mehan, Peter W. Gillies
Arbitrator(s): Gerald Cohen, John R. Loss, Casey John Whalley
Hearing Site: St. Louis, MO
| | Expungement |
| 11-02789 | 03/26/2012 | Claimant(s): Philip Merryman
Claimant Lawyers(s): Philip Merryman
Respondent(s): Jeremy Mosbaugh, Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Hilda H. Boas
Hearing Site: New York, NY
| | $10,385 |
| 09-03823 | 03/23/2012 | Claimant(s): Phensiri Kalmbach
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Dennis C. Dice
Arbitrator(s): Jerry Schuchman, John T. Hausladen
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-01032 | 03/23/2012 | Claimant(s): Angel Delucca-Marrero
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., Ramon Almonte, UBS Financial Services Inc. of PR
Respondent Lawyers(s): Enrique G. Figueroa-Llinas, Guillermo J. Bobonis
Arbitrator(s): Roy B. Gonas, Todd M. Saunders, Jeffrey R. Roth
Hearing Site: San Juan, PR
| | Expungement |
| 11-02927 | 03/23/2012 | Claimant(s): Philip Paul
Claimant Lawyers(s): Philip Craig Paul
Respondent(s): Wachovia Securities Inc., Sam Macaluso
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | Expungement |
| 11-03340 | 03/23/2012 | Claimant(s): Patricia Towler
Claimant Lawyers(s): Patricia Ann Towler
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa M. Hoffman
Arbitrator(s): David W. Casey
Hearing Site: Los Angeles, CA
| | $5,325 |
| 11-03886 | 03/23/2012 | Claimant(s): Robert Courtney
Claimant Lawyers(s): Robert Gary Courtney
Respondent(s): WFG Investments.
Respondent Lawyers(s): Dagny Young
Arbitrator(s): Charles A. Joplin
Hearing Site: Oklahoma City, OK
| | $3,675 |
