| 10-01674 | 12/27/2011 | Claimant(s): Harry Dines & Esther Dines TRS FBO, Harry Dines Revocable Living Trust
Claimant Lawyers(s): James R. Anderson
Respondent(s): TD Ameritrade., Warren Castor
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Matthew W. Schlegel, Terrance J. Dorcy, Patrick A. Guentner
Hearing Site: Detroit, MI
|  | Expungement |
| 10-03212 | 12/27/2011 | Claimant(s): Lawrence O'Brien, Lawrence J. O'Brien Revocable Trust U/T/
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Doreen S. Young
Arbitrator(s): Linda M. Granata, Gary King, Milton Thurm
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-05061 | 12/27/2011 | Claimant(s): Estate of Nancy S. Nethercutt
Claimant Lawyers(s): Ryan M. Beaudoin
Respondent(s): Craig Wessels, Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Elwood C. Avery, Imants J. Leskinovitch
Hearing Site: Seattle, WA
| | Expungement |
| 10-04964 | 12/27/2011 | Claimant(s): Rita Lois Robinson Trust
Claimant Lawyers(s): Andrew D Gowdown
Respondent(s): Wells Fargo Advisors, John Hodson
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): J. Kirkland Grant, Susan J. Buckley, Robert P. Porter
Hearing Site: Columbia, SC
| | $0 |
| 11-01012 | 12/27/2011 | Claimant(s): John Francesconi
Claimant Lawyers(s): John Francesconi
Respondent(s): James Johnson
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Paul Davis Pearlstein, Stephan Paul Carrier, Donald B. Katz
Hearing Site: Richmond, VA
| | $0 |
| 11-02027 | 12/27/2011 | Claimant(s): Jyotsna Varma
Claimant Lawyers(s): Christopher S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Jeffrey M. Allen
Hearing Site: New Orleans, LA
| | $0 |
| 10-05276 | 12/23/2011 | Claimant(s): John Puglisi
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Lori H. Carena
Hearing Site: New York, NY
| | Expungement |
| 11-01164 | 12/23/2011 | Claimant(s): Michael Weiss
Claimant Lawyers(s): Michael Weiss
Respondent(s): Keith Steidle, Nationwide Planning Associates Inc.
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): B. David Jarashow, Margaret Leggett Tarver, David Marcus
Hearing Site: Newark, NJ
| | Expungement |
| 11-00521 | 12/23/2011 | Claimant(s): Ghaleb Azroui
Claimant Lawyers(s): Ghaleb Azroui
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Robert S. Sugarman, Theodore L. Leeb, Robert B. Schmidt
Hearing Site: Chicago, IL
| | $0 |
| 10-03471 | 12/22/2011 | Claimant(s): The Circle Trust UAD, Joan Lane TTEE
Claimant Lawyers(s): Hartley T. Bernstein
Respondent(s): Donna Leone, Laura Sloate, Neuberger Berman LLC, SWM Securities., Sloate, Weisman, Murray & Company.
Respondent Lawyers(s): Compliance Officer, Donna M. Leone, Victor A. Machcinski
Arbitrator(s): Harvey Barrison, Lisa Catalano, Robert S. Clemente
Hearing Site: New York, NY
| | Expungement |
