| 10-01684 | 01/13/2012 | Claimant(s): Britta Chojnacki, David Brill, Walter Chojnacki
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Christopher Shufeldt, La Salle St. Securities, L.L.C., Kimball & Cross Investment Mgmt Corp.
Respondent Lawyers(s): James D. Fornari, John C. Clifford, Matthew M. Showel
Arbitrator(s): Gordon E. Wright, Joseph L. Farrell, Joseph R. Lally
Hearing Site: Philadelphia, PA
|  | $42,800 |
| 10-03196 | 01/13/2012 | Claimant(s): George Berman
Claimant Lawyers(s): Edward C. Cooley
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Nelson P. Lovins, Robert L. Barker, Howard N. Gorney
Hearing Site: Boston, MA
| | Expungement |
| 10-03400 | 01/13/2012 | Claimant(s): Douglas Mirabelli, Kristin Mirabelli
Claimant Lawyers(s): John J. Miller
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Larry C. Kreul, John F. Burns, Jacqueline R. Fox
Hearing Site: Detroit, MI
| | $1,239,000 |
| 10-03482 | 01/13/2012 | Claimant(s): Jim Clamp, Susan Stewart, Clamp Investment Properties, Stewart Investment Properties
Claimant Lawyers(s): William D. Nelson
Respondent(s): Gregory Fulton
Respondent Lawyers(s): Steven W. McDonald
Arbitrator(s): James J. Moylan, Avery B. Goodman, Richard Djokic
Hearing Site: Denver, CO
| | $700,600 |
| 10-05705 | 01/13/2012 | Claimant(s): Paul Covill
Claimant Lawyers(s): Paul W. Covill
Respondent(s): James Smith
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-00106 | 01/13/2012 | Claimant(s): PCF LLC, TGV LLC
Claimant Lawyers(s): Shana M. Rugani
Respondent(s): William Kring, Triad Advisors.
Respondent Lawyers(s): J. Steven Parker
Arbitrator(s): Arthur DeStefano, William H. Fleece, John T. Luce
Hearing Site: Tampa, FL
| | Dismissed by Rule 12504 |
| 09-06877 | 01/12/2012 | Claimant(s): Alben Realty Corporation, Babylon Repair Service., Alben Realtor Corporation Retirement PSP
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): FMSBonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Neil J. Berman, Robert G. Falbisaner, Fred Abramoff
Hearing Site: Miami, FL
| | Stipulated Award |
| 10-02248 | 01/12/2012 | Claimant(s): Derek LaFavor, LaFavor Investments, L.P.
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): LPL Financial LLC, Michael Manning, Hamilton, Manning & Associates
Respondent Lawyers(s): John Kincade, John Singer
Arbitrator(s): Elizabeth A. Copley, Theodore T. Wdowiak, Anita Rae Shapiro
Hearing Site: Las Vegas, NV
| | Stipulated Award and Expungement |
| 10-02298 | 01/12/2012 | Claimant(s): Debra Kennedy and Harold Kennedy
Claimant Lawyers(s): Steven S. Biss
Respondent(s): Joseph Audia, Matthew Ferber, Stephen Marek, American Capital Partners, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): John Kilkenny, Michael P. Gilmore, Scott Holcomb
Arbitrator(s): Donald B. Vaden, Glenn H. Catalano, Michael W. Hultzapple
Hearing Site: Richmond, VA
| | Expungement |
| 10-05507 | 01/12/2012 | Claimant(s): Palatine Capital Investment Group
Claimant Lawyers(s): Harold P. Gewerter
Respondent(s): Alpine Securities Corporation
Respondent Lawyers(s): Erik A. Christiansen
Arbitrator(s): Douglas Edwards, Howard W. Shannon, Barry A. Mainardi
Hearing Site: Las Vegas, NV
| | $0 |
