| 10-03779 | 11/23/2011 | Claimant(s): Cynthia A. Osofsky and R. Sidney Osofsky
Claimant Lawyers(s): R. Sidney Osofsky
Respondent(s): Bridget Shaw, Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): John F. Allgood
Hearing Site: Columbia, SC
|  | $0 |
| 10-04227 | 11/23/2011 | Claimant(s): Robert Zveibil, Illuminated Solutions.
Claimant Lawyers(s): David M. Shenkman
Respondent(s): Banc of America Investment Services
Respondent Lawyers(s): Martin B. Woods
Arbitrator(s): Seth L. Finkel, Gerald Silverman, Jonathan H. Parker
Hearing Site: Miami, FL
| | $0 |
| 09-04480 | 11/22/2011 | Claimant(s): Jamie Blumenthal, Nancy Blumenthal
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Brian Wahlfeld, Don Torrillo, Gordon Hing, Emmett A Larkin Company.
Respondent Lawyers(s): David J. Feingold, Joseph Keenan, Nicholas S. Cerni
Arbitrator(s): Ann Blaess Kimball, Richard C. Corse, Jeanne Crandall
Hearing Site: Dallas, TX
| | Expungement |
| 09-05754 | 11/22/2011 | Claimant(s): Mary Brown, Paul Allgyer
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Jerry C. Prestridge, Nathan Levy, William Edward Buck
Hearing Site: Houston, TX
| | Expungement |
| 10-04374 | 11/22/2011 | Claimant(s): Grisel Wiley, Jerry Wiley, Grisel Wiley Irrevocable Life Ins. Trust, Jerry Wiley Irrevocable Life Ins Trust, The Grisel Wiley Living Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Sherry L. Robinson, John R. Loss, Michael J. Hunter
Hearing Site: Kansas City, MO
| | $0 |
| 11-01360 | 11/22/2011 | Claimant(s): Cheryl Horrigan-Happy
Claimant Lawyers(s): Fred H. Freeman
Respondent(s): Joseph Girardin, Morgan Stanley
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Edward M. Olson
Hearing Site: Detroit, MI
| | $163 |
| 10-02080 | 11/21/2011 | Claimant(s): Bernard Rothschild, The Bernard W. Rothschild Foundation Inc, Bernard Rothschild Rev Living Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Manuel Schultz, Ronald W. Lasday, Kenneth R. Starr
Hearing Site: Tampa, FL
| | Expungement |
| 10-03186 | 11/21/2011 | Claimant(s): Earl Duhon, Lillie Duhon
Claimant Lawyers(s): Thomas Kiehnoff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Shriver, Merrill Lynch Life Agency
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Mobley E. Cox, Richard F. Dole, Robert Alan Meyer
Hearing Site: Houston, TX
| | Expungement |
| 10-04030 | 11/21/2011 | Claimant(s): Jeanne Smiley
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Mary Margaret Bush
Hearing Site: Atlanta, GA
| | $10,366 |
| 10-04406 | 11/21/2011 | Claimant(s): Matthew Borden
Claimant Lawyers(s): Adam Green
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | Expungement |
