| 10-04587 | 03/19/2012 | Claimant(s): Darlene Peterson, Karen Labuda, Sherry Leach-Warth
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Sandra L. Malek, Laurent C. Vonderweidt, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
|  | $1,403,500 |
| 11-02506 | 03/19/2012 | Claimant(s): Margaux Loretz, Michael Loretz, Stone & Associates APC Profit Sharing Pl
Claimant Lawyers(s): Colette F. Stone
Respondent(s): George Sellers, James Brandt, UBS Financial Services Inc., Robert Schneider
Respondent Lawyers(s): Julie A. Cole
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | Expungement |
| 08-04742 | 03/16/2012 | Claimant(s): Corbin Robertson
Claimant Lawyers(s): Fletcher V. Trammell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Antoinette M. Romano, Carlton A. Butler, Allan R. Lazor
Hearing Site: Houston, TX
| | $206,107 |
| 09-05604 | 03/16/2012 | Claimant(s): Lorraine Welch Shaw
Claimant Lawyers(s): Sidney W. Jackson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Dale A. Kaliszeski, Allen J. Krouse, Onnig Hatchig Dombalagian
Hearing Site: New Orleans, LA
| | $41,300 |
| 09-06438 | 03/16/2012 | Claimant(s): Nathan Friedlander, Nathan Friedlander & Joan Friedlander, Harris Friedlander Trust U/A DTD 7/25/89
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn Best
Arbitrator(s): R. Lee Britton Jr., Cynthia Lee Traina, Constance K. Barron
Hearing Site: New Orleans, LA
| | Expungement |
| 10-01102 | 03/16/2012 | Claimant(s): Maureen B. Joyce
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brady J. Hermann
Arbitrator(s): Amy Lampert, Irene Scharf, B. John Dill
Hearing Site: Boston, MA
| | $37,646 |
| 10-04564 | 03/16/2012 | Claimant(s): Anna DeVincenzo, DeVincenzo Revocable Living Trust
Claimant Lawyers(s): Ray T. Rockwell
Respondent(s): John Cummings, Morgan Stanley
Respondent Lawyers(s): Jonathan D. Robbins
Arbitrator(s): Walter P. Hitchcock, John Edward Bersin, M. Scott Donahey
Hearing Site: San Francisco, CA
| | $305,000 |
| 10-05539 | 03/16/2012 | Claimant(s): David Flaat, Linda Flaat, David L. Flatt Rev. Trust, Linda M. Flaat Rev Trust
Claimant Lawyers(s): David Flaat
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): George Sullivan
Arbitrator(s): Linda M. Granata, Nancy J. Cliff, Philip L. Manczak
Hearing Site: Ft. Lauderdale, FL
| | Dismissed by Rule 12504 |
| 11-00800 | 03/16/2012 | Claimant(s): David Taylor
Claimant Lawyers(s): William R. Warne
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Ferdinand Schoch, Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01174 | 03/16/2012 | Claimant(s): Leonard DeFranco
Claimant Lawyers(s): Adam S. Tracy
Respondent(s): Robert DeCanio, Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Joseph Giovanniello
Arbitrator(s): William M. Getzoff, Frank R. Niederman, Steven H. Vogel
Hearing Site: Chicago, IL
| | $0 |
