| 10-03472 | 11/15/2011 | Claimant(s): Daniel Hardy, Mary Spivey, Estate of Daniel Thomas Hardy, III, Estate of Susan Hardy Killgore
Claimant Lawyers(s): James F. Willeford, Jessica M. Vasquez
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Leonard E. Benade, Dale A. Kaliszeski, Simeon B. Reimonenq
Hearing Site: New Orleans, LA
|  | Expungement |
| 11-01076 | 11/15/2011 | Claimant(s): Estate of Lois E. Walker
Claimant Lawyers(s): Peter F. Walker
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | $20,819 |
| 11-02312 | 11/15/2011 | Claimant(s): James Thomas
Claimant Lawyers(s): James J. Thomas
Respondent(s): John Swegles, Philip Sloan
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
| | $2,325 |
| 09-01392 | 11/15/2011 | Claimant(s): Debra D' Antonio, Est. of Betty J. Miller by Debra D'Anton
Claimant Lawyers(s): John Benjamin Carroll
Respondent(s): Phillips Smith, Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): David Buch, Nino Armienti, Jennifer L. Bliss
Hearing Site: Rochester, NY
| | $0 |
| 10-01452 | 11/15/2011 | Claimant(s): Erica Michaliga
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Citigroup Global Markets., Mary Mcevoy-Dockeray
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Jim Geiger, Elizabeth A. McKinney, Fred W. Miller
Hearing Site: Philadelphia, PA
| | $0 |
| 10-02339 | 11/15/2011 | Claimant(s): Madhok Family Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): James D. Murray, Michael Lancaster Garcia, Ronald J. Vernali
Hearing Site: San Francisco, CA
| | $0 |
| 11-00936 | 11/15/2011 | Claimant(s): Eureal Gardner
Claimant Lawyers(s): Eureal A. Gardner
Respondent(s): Smith Barney.
Respondent Lawyers(s): Tracey L. Gerber
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
| 09-02552 | 11/14/2011 | Claimant(s): Fleming Endowment, Pelican Holdings, Ltd.
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): M. Jason Hale
Arbitrator(s): Karen Settle Newton, Jerry C. Prestridge, Alan M. Holzberg
Hearing Site: Houston, TX
| | $889,340 |
| 10-02869 | 11/14/2011 | Claimant(s): Paula Fives-Taylor
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Charles DinklageL Financial LLC, AXA Advisors
Respondent Lawyers(s): Brian J. Palmeri, Eilott R Good
Arbitrator(s): Elizabeth K. Norsworthy, Albert J. Cirone, Jack B. Golden
Hearing Site: Montpelier, VT
| | Expungement |
| 09-05113 | 11/14/2011 | Claimant(s): Ian Harrison, Margaret Harrison, Harrison Family Trust
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $0 |
