| 09-06175 | 12/16/2011 | Claimant(s): Estelle Gangi, William Gangi, William and Estelle Gangi Irrev. Trust
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Brian Purpura, J.P. Morgan Clearing Corp., J.P. Morgan Securities, Scott Siegel
Respondent Lawyers(s): David B. Wechsler, Timothy E. Di Domenico
Arbitrator(s): Linda T. Pellegrino, Dwight Wassong, Scott M. Pellegrino
Hearing Site: Newark, NJ
|  | $0 |
| 10-05264 | 12/16/2011 | Claimant(s): Mario Conforti
Claimant Lawyers(s): Mark J. Brancato
Respondent(s): Anthony Locascio, FSC Securities Corporation
Respondent Lawyers(s): Justin I. Sacca, Robyn Silvermintz
Arbitrator(s): Jerry P. DeNigris, Alan Shaw, Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 09-06924 | 12/15/2011 | Claimant(s): Marie Mirch
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Joseph C. Roberts, Joseph M. O'Connor, Gregory Jay Gursey
Hearing Site: Reno, NV
| | Expungement |
| 11-01339 | 12/15/2011 | Claimant(s): Laura Bogolin, Roy Harvey
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Michael J. Ahlstrom, Helen E. Huyler, Joe E. Manuel
Hearing Site: Atlanta, GA
| | Expungement |
| 09-06699 | 12/14/2011 | Claimant(s): National Securities Corporation, Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): D. Dorsey
Respondent Lawyers(s): Bruce V. Schewe
Arbitrator(s): Frederick S. Duncan, Mark A. Myers, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
| | $72,312 |
| 10-01923 | 12/14/2011 | Claimant(s): Karen Kramer, Richard Kramer IRA
Claimant Lawyers(s): Joel D. Feldman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John L. Castelly
Arbitrator(s): Guillermo L. Bosch, Margaret Mary Crumley, L. Martin Miller
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-03698 | 12/14/2011 | Claimant(s): James Heiser, Joan Heiser
Claimant Lawyers(s): James H. West
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Donald R. Giacomelli, June White Dillard, Brenda J. Stovall
Hearing Site: Baltimore, MD
| | $116,967 |
| 10-04326 | 12/14/2011 | Claimant(s): Daniel Martorano, Janet Goodstein, Laurie Martorano
Claimant Lawyers(s): Daniel Mortorano, Scott L. Silver
Respondent(s): Steven L. Falk and Associates
Respondent Lawyers(s): Steven L. Falk
Arbitrator(s): Steven Gerard Goerke, Mark T. Burnam, Marie Paulette Levine
Hearing Site: Boca Raton, FL
| | $487,202 |
| 10-02737 | 12/14/2011 | Claimant(s): Estate of Dr. Paul Tanner
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Oppenheimer & Co.., Kedrick Sackey
Respondent Lawyers(s): Ellen Sheridan Cona, Irwin Weltz
Arbitrator(s): Ronald Citron, Daniel P. Lund, Martin R. Cramer
Hearing Site: Newark, NJ
| | $0 |
| 11-00127 | 12/14/2011 | Claimant(s): Darleen Simpson, Norbert Simpson
Claimant Lawyers(s): Thomas J. Wolf
Respondent(s): Michael Abraham
Respondent Lawyers(s): David A. Zisser
Arbitrator(s): James B. Eichberg, Ronald G. Guida, Hazel E. Hanley
Hearing Site: Denver, CO
| | $0 |
