| 10-05324 | 02/03/2012 | Claimant(s): Ana Rosa Garcia, Luis Rosario Serrano
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Popular Securities.
Respondent Lawyers(s): Maritere Colon-Dominguez
Arbitrator(s): Mark C. Perry, Elena G. Rodriguez, Daniel P. Lund
Hearing Site: San Juan, PR
|  | Expungement |
| 11-02361 | 02/03/2012 | Claimant(s): Richard Kerian
Claimant Lawyers(s): David E. Robbins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Walter A. Kapuscinski, Louis H. Miron, S. Charles Tabak
Hearing Site: Newark, NJ
| | Expungement |
| 10-04520 | 02/03/2012 | Claimant(s): Margaret Wendt
Claimant Lawyers(s): Jed Gladstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Laurent C. Vonderweidt, Kirtley M. Thiesmeyer, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | $0 |
| 10-05074 | 02/03/2012 | Claimant(s): Donn Philip Crane
Claimant Lawyers(s): Donn Philip Crane
Respondent(s): Jeramy Heath, Morgan Stanley
Respondent Lawyers(s): Kenneth J. Haim
Arbitrator(s): Jennifer L. Bliss
Hearing Site: Albany, NY
| | $0 |
| 10-03886 | 02/02/2012 | Claimant(s): P. Anne Giannini
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): David McClurg, Joseph Niederkorn, Raymond Lent, Tracy McClurg, McClurg Capital Corporation, The McClurg Family Trust
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Thomas J. LoSavio, Michelle Judy Brant, James D. Murray
Hearing Site: San Francisco, CA
| | $23,000 |
| 10-05263 | 02/02/2012 | Claimant(s): Stephen and Diane Levine
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Guardian Investor Services LLC, Park Avenue Securities LLC
Respondent Lawyers(s): John C. Kelly
Arbitrator(s): Steven Gerard Goerke, Paul W. Sterman, Robert H. Loevin
Hearing Site: Boca Raton, FL
| | $300,000 |
| 11-00165 | 02/02/2012 | Claimant(s): Inokentiy Osadchyy
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Aleksandr Denisov, Naum Voloshin, Pinnacle Securities, L.P., San Francisco Securities.
Respondent Lawyers(s): Aleksandr Yurievich Denisov, Naum Voloshin
Arbitrator(s): Aubrey Lees, Robert S. Getman, Robert Francis Geary
Hearing Site: New York, NY
| | $224,620 |
| 11-00269 | 02/02/2012 | Claimant(s): Alan Begun, Rhonda Begun
Claimant Lawyers(s): David Liebrader
Respondent(s): Armen Karapetyan, Basis Financial
Respondent Lawyers(s): Richard E. Brodsky
Arbitrator(s): Bruce R. Heurlin
Hearing Site: Las Vegas, NV
| | $62,034 |
| 08-01120 | 02/02/2012 | Claimant(s): Glenna Flautt
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Golwen
Arbitrator(s): Guy K. Stewart, Edward B. Scott, Thomas Richard Delaney
Hearing Site: Memphis, TN
| | $0 |
| 11-00578 | 02/01/2012 | Claimant(s): Jamie Tyszka, Lawrence Barr, Estate of Perry I. Barr, Deceased
Claimant Lawyers(s): Steven C. Forman
Respondent(s): Morgan Stanley & Co., Stanley Lerner
Respondent Lawyers(s): John Castelly
Arbitrator(s): Guillermo L. Bosch, Benjamin F. Richards, David M. Panko
Hearing Site: Philadelphia, PA
| | $0 |
