| 10-00502 | 12/13/2011 | Claimant(s): Carmela Di Gregorio
Claimant Lawyers(s): Thomas R. Catanese
Respondent(s): Oppenheimer & Co.., Ronald Kunze
Respondent Lawyers(s): Diana H. Sur, Robert J. Girard
Arbitrator(s): John E. Ohashi, Elizabeth A. Copley, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
|  | Expungement |
| 10-04068 | 12/13/2011 | Claimant(s): Charmaine Kaltrider
Claimant Lawyers(s): R. Scott Atwater
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stephen Nosek, Timothy McNamara, McNamara-Nosek Group
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Christopher C. Willett, David E. McNabb, John William Comstock
Hearing Site: Buffalo, NY
| | $728,961 |
| 09-02387 | 12/12/2011 | Claimant(s): Ellen Foster
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Matthew Jennings, Thomas Savino, Wayne Leffler
Respondent Lawyers(s): John P. Girarde, Thomas Walter Savino
Arbitrator(s): Jerry Ellner, Robert Elman, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 10-02215 | 12/12/2011 | Claimant(s): Frederick Horn
Claimant Lawyers(s): Janice L. Malecki
Respondent(s): James Carey, UBS Financial Services Inc., Margaret Carey
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Abigail J. Pessen, Eugene G. P. Byrne, Scott W. Mulford
Hearing Site: New York, NY
| | Expungement |
| 10-04446 | 12/09/2011 | Claimant(s): Family Trust Agr. of Olivia P. Miller
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Brian Zaid, John Cvach, Terry Reinhart
Respondent Lawyers(s): Brian Zaid, Richard J. Magid
Arbitrator(s): Jane F. Moore, John Stuart Graham, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $55,000 |
| 10-03384 | 12/09/2011 | Claimant(s): Daniel Dean, Judy Joachimi, Norman Marik, Patricia Hendricks, Carroll L. Joachimi, Thomas R. Dew
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Marvin J. Klein, Michael G. Clark, Nicholas Jason Enoch
Hearing Site: Nashville, TN
| | $48,260 |
| 11-01668 | 12/09/2011 | Claimant(s): Carol Cohen, Ronald Cohen
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Gregory Kwasnicki
Respondent Lawyers(s): Gregory Thomas Kwasnicki
Arbitrator(s): Abraham Harry Bunis
Hearing Site: Newark, NJ
| | $365,000 |
| 11-04008 | 12/09/2011 | Claimant(s): Jerome Guidish, Joseph Guidish, Greystone Park Mobile Homes.
Claimant Lawyers(s): Bradford Gucciardo
Respondent(s): Maureen Maloney
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Lawrence M. Green, Richard S. Zaifert, Walter John Chesney
Hearing Site: Boca Raton, FL
| | $0 |
| 10-05212 | 12/08/2011 | Claimant(s): William Brooks
Claimant Lawyers(s): Cary Ichter
Respondent(s): Wells Fargo Advisors, Lawrence Rule
Respondent Lawyers(s): Glenn A. Delk, Keith J. Barnett
Arbitrator(s): Harry G. Mason, Bruce W. Bennett, James Roland Brumbelow
Hearing Site: Atlanta, GA
| | $214,100 |
| 11-00575 | 12/08/2011 | Claimant(s): Rose Gannon
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Holly Stein Sollod
Arbitrator(s): James B. Eichberg, Richard M. Reider, Leonard M. Goldstein
Hearing Site: Denver, CO
| | $0 |
