| 10-04477 | 01/11/2012 | Claimant(s): Reuben Lengacher, Rose Lengacher
Claimant Lawyers(s): G. Martin Cole
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Stuart D. Summers, John W. Guy, F. Wesley Bowers
Hearing Site: Indianapolis, IN
|  | Expungement |
| 11-00699 | 01/11/2012 | Claimant(s): Arlene Halley
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Vicki J. Limas, Pamela M. Roach, Charles W. Adams
Hearing Site: Oklahoma City, OK
| | Stipulated Award and Expungement |
| 11-01530 | 01/11/2012 | Claimant(s): Hung Tran
Claimant Lawyers(s): Barry G. Flynn
Respondent(s): Charles Hawkins, Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Michael S. Wilk
Hearing Site: Houston, TX
| | Expungement |
| 09-06643 | 01/11/2012 | Claimant(s): Aslam Ahmed, Ayfer Ahmed
Claimant Lawyers(s): Irwin Stein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Crow, Patricia Williams
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Ferdinand Schoch, Ronald Chun, Charles Eugene Markley
Hearing Site: San Francisco, CA
| | $0 |
| 10-01698 | 01/10/2012 | Claimant(s): Margaret Driscoll
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Virginia H. Wertz
Hearing Site: Birmingham, AL
| | $36,433 |
| 10-05673 | 01/10/2012 | Claimant(s): Carole G. Begley IRA, Emmette R. Begley IRA, Emmette R. Begley SEP-IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael Gless
Arbitrator(s): Stephen H. Biller
Hearing Site: Nashville, TN
| | Expungement |
| 11-00730 | 01/10/2012 | Claimant(s): Cliff Liang
Claimant Lawyers(s): Cliff Liang
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
| 10-02526 | 01/09/2012 | Claimant(s): Fornell Enterprises. 401(K) PSP
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawerence Polk
Arbitrator(s): Kathryn J. Toronto, Marc Kalish, Jane L. Lawless
Hearing Site: Orlando, FL
| | $214,618 |
| 10-03605 | 01/09/2012 | Claimant(s): Myrl Mladenoff, Myrl E. Mladenoff & Leroy K Mladenoff
Claimant Lawyers(s): Christopher J. Coyle
Respondent(s): Robert Lowrie, Edward Jones
Respondent Lawyers(s): Javier Chavez
Arbitrator(s): Alan J. Blocher
Hearing Site: Philadelphia, PA
| | $10,000 |
| 10-02738 | 01/09/2012 | Claimant(s): Gubman Revocable Trust, Sidney Cohn Life Insurance Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): The GMS Group
Respondent Lawyers(s): Don Boswell
Arbitrator(s): Alyson R. Dachelet
Hearing Site: Boca Raton, FL
| | $69,866 |
