| 10-02019 | 02/17/2012 | Claimant(s): Palmieri Family Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Ilisa J. Smukler, William R. Alheim, Will Murphy
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-01510 | 02/17/2012 | Claimant(s): Diana Calderaio, John Calderaio, Paul Calderaio
Claimant Lawyers(s): John A. Calderaio
Respondent(s): Wells Fargo Advisors, Robert Misener
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Philadelphia, PA
| | $225 |
| 09-03660 | 02/16/2012 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Fuad Mansour, Signator Investors., John Hancock Mutual Life Insurance Com
Respondent Lawyers(s): John C. Holmes, Mark J Hancock, William A. Gottlieb
Arbitrator(s): Ferdinand Schoch, Robert Hilton Keller, Edward J. Harkins
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 10-05260 | 02/16/2012 | Claimant(s): Nicki Lynn Dimopoulos
Claimant Lawyers(s): Evangelos Dimopoulos
Respondent(s): Wachovia Securities, Richard Dobler
Respondent Lawyers(s): Deirdre C. Wolf
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
| | $5,000 |
| 11-01531 | 02/16/2012 | Claimant(s): Lawrence Glaser, Benjamin Glaser, Erin Glaser, Hannah Glaser, Kimberly Glaser
Claimant Lawyers(s): Simon Kogan
Respondent(s): Edmund Stephan, Jonathan Legg, Morgan Stanley & Co.
Respondent Lawyers(s): Edmund Stephan, Joseph C. Coates
Arbitrator(s): Louis Paul Sitnik, Joyce A. Mitchell, Mark R. Joelson
Hearing Site: Washington, DC
| | Expungement |
| 10-05018 | 02/16/2012 | Claimant(s): Cheryl Lisa Gibson
Claimant Lawyers(s): Julia A. Epps
Respondent(s): Ameriprise Financial Services., Robert Yeh
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Maurice R. Dunie
Hearing Site: Norfolk, VA
| | $0 |
| 10-00898 | 02/15/2012 | Claimant(s): Marilyn Szymkiw-Schreiber, Michael Schreiber, The Schreiber Living Trust
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): John Sykes, Paul Richardson, JHS Capital Advisors.
Respondent Lawyers(s): Scott T. Seabolt
Arbitrator(s): Robert A. Vogler, Stephen D Kursman, William M. Azkoul
Hearing Site: Detroit, MI
| | $45,001 |
| 10-01497 | 02/15/2012 | Claimant(s): Paul Sacco
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): John Guyette, Allied Beacon Partners. f/k/a Water, Community Bankers Securities
Respondent Lawyers(s): John Brady Guyette, Steven S. Biss
Arbitrator(s): William F. Skewes, Bradford J. Lam, Edward Allan Hindman
Hearing Site: Denver, CO
| | $109,956 |
| 11-00807 | 02/15/2012 | Claimant(s): Kwame Boateng
Claimant Lawyers(s): A. Brian McIntosh
Respondent(s): Danielle Schmidt, Kevin Martin, Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Kevin R. McDermott
Hearing Site: Cincinnati, OH
| | Stipulated Award and Expungement |
| 10-05725 | 02/15/2012 | Claimant(s): Keith Campbell
Claimant Lawyers(s): Keith Anthony Campbell
Respondent(s): Wells Fargo Advisors, Shannon Powers-Solomon
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | $0 |
