| 10-02867 | 01/04/2012 | Claimant(s): Nino Calabrese
Claimant Lawyers(s): H. Robert Boney
Respondent(s): Morgan Stanley & Co., Thomas Hurley
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
|  | $0 |
| 11-01417 | 01/04/2012 | Claimant(s): Michael Weigand, Richard LaValley
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Garry Payne, New England Securities, Signator Investors., Lincoln Financial Advisors Corporation, MML Investors Services
Respondent Lawyers(s): Janene M. Marasciullo, Linda H. Joseph, Michael G. Donovan, William P. Thornton
Arbitrator(s): Christopher C. Willett, Allan H. Kaminsky, Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
| 10-01196 | 01/03/2012 | Claimant(s): Dougals Haslinger, Sandra Haslinger Trust
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Carol M. Stoner, Marianne L. Simpson, Eileen B. Vernon
Hearing Site: Cleveland, OH
| | Expungement |
| 10-05029 | 01/03/2012 | Claimant(s): Frank Tysen
Claimant Lawyers(s): Timothy Feil
Respondent(s): Lawrence Kirshbaum, Prestige Financial Center.
Respondent Lawyers(s): Larry Kirshbaum, Lawrence Gary Kirshbaum
Arbitrator(s): Larry Edmonson
Hearing Site: Los Angeles, CA
| | $60,469 |
| 10-00508 | 12/30/2011 | Claimant(s): Christiane Rocco, Michael Rocco
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Debra Reda-Cappos, Crowell, Weedon & Co., Seidler Holdings., The Seidler Companies Incorporated
Respondent Lawyers(s): G. Thomas Fleming, Peter Brown Dolan
Arbitrator(s): Daniel David Kopman, Norman Michael Garland, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02100 | 12/30/2011 | Claimant(s): Kelly Martinsen
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ilene Barbara Zatkin-Butler, Joseph F. Kelley, Robert M. Goldstein
Hearing Site: New York, NY
| | Expungement |
| 11-02556 | 12/30/2011 | Claimant(s): Jose Zardoya
Claimant Lawyers(s): Jose Zardoya
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Daniel J. McCarthy
Hearing Site: Newark, NJ
| | $0 |
| 10-05206 | 12/29/2011 | Claimant(s): Priscilla D. Johnson, IRA, William P. Johnson IRA, William P. Johnson & Priscilla D. Johnso
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Michael P. Anciello, Gene M. Bauer, Barry Joseph Fiske
Hearing Site: Boston, MA
| | Expungement |
| 09-06958 | 12/28/2011 | Claimant(s): Tall Trees
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Cole Partners, Lynn Sieben
Respondent Lawyers(s): Daniel D. White, Thomas F. Burke
Arbitrator(s): Robert S. Sugarman, Champ W. Davis, Abe Jay Goldsmith
Hearing Site: Chicago, IL
| | Expungement |
| 11-04236 | 12/28/2011 | Claimant(s): David McAllister, McAllister Family Trust A, McAllister Family Trust B
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): Anthony Salino, Lynn Schultz, Mercer Capital, Ltd.
Respondent Lawyers(s): Anthony John Salino, Company President, Lynn Gordon Schultz
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
