| 10-05604 | 02/29/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Erin Linehan Reyes
Respondent(s): Barbara Wortley
Respondent Lawyers(s): Robert A. Sweetapple
Arbitrator(s): John E. Sutton, Thomas C. Krumenacker, Marie G. Peterson
Hearing Site: Boca Raton, FL
|  | $0 |
| 11-00594 | 02/29/2012 | Claimant(s): Robert Elberger
Claimant Lawyers(s): Ronald M. Cohen
Respondent(s): Wells Fargo Investments, Jay Haley
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Alan M. Holzberg
Hearing Site: Houston, TX
| | $0 |
| 10-04833 | 02/28/2012 | Claimant(s): Carol Mitchell-Gears, Keith Mitchell-Gears
Claimant Lawyers(s): Irwin Stein, Tanya Sacks
Respondent(s): August Stock, Jerome Rydell, John McClellan, Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Joe S. Tarrer, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-01251 | 02/28/2012 | Claimant(s): Gilbert H. Quintana, IRA, Roth IRA, Jerry H. Quintana IRA, Jose Biterbo & Zulema Quintana Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Steven Meyrich
Hearing Site: Albuquerque, NM
| | Expungement |
| 10-00894 | 02/28/2012 | Claimant(s): David Gipson
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): John Sykes, Kirk Kubach, Mary Kennemur, Paul Chuzi, Paul Richardson, Jhs Capital Advisors., Pointe Capital
Respondent Lawyers(s): Scott T. Seabolt
Arbitrator(s): Joseph R. Papo, Barry Goldman, Allen R. Telgenhof
Hearing Site: Detroit, MI
| | $0 |
| 10-04022 | 02/28/2012 | Claimant(s): Andrew Vogelbach, Karl Vogelbach, Karl Heinrich Vogelbach MD MPP & Trust U, Karl HeinrichVogelback MD MNY Prchse PL
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): Jens Spitta, Quincy Cass Associatesorporated
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s): David W. Dresnick, Kendall C. Reed, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 10-05528 | 02/28/2012 | Claimant(s): Corrado Federico 2005 Restated Revocable
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Peter H. Daly, Arocles Aguilar, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | $0 |
| 10-05533 | 02/28/2012 | Claimant(s): Frank Porco, Mary Porco
Claimant Lawyers(s): Rebecca J. Maziarz
Respondent(s): Thomas Brancazio, U.S. Bancorp Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Donald J. Gilbert, Michael C. Hanzel, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | $0 |
| 11-00208 | 02/28/2012 | Claimant(s): Donna Keppen, Steven Keppen, Donna Keppen Trust, Steven Keppen Trust
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): William H. Steinbrenner, V. Michael Pabalis, Susanne J. Hollander
Hearing Site: Orlando, FL
| | $0 |
| 11-01879 | 02/28/2012 | Claimant(s): David Miller
Claimant Lawyers(s): David G. Miller
Respondent(s): Matthew Dailey, Genworth Financial Securities Corp
Respondent Lawyers(s): James W. Shay
Arbitrator(s): Thomas C. Wagner
Hearing Site: Pittsburgh, PA
| | $163 |
