| 10-05501 | 11/07/2011 | Claimant(s): Mercer Blankenship
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Tim Baird
Arbitrator(s): Robert T. Allen, Lynne T. Albert, Richard E. Miley
Hearing Site: Charlotte, NC
|  | Expungement |
| 10-01403 | 11/07/2011 | Claimant(s): Alliance Semiconductor Corp.
Claimant Lawyers(s): Robert S. Chapman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jonathan K. Youngwood
Arbitrator(s): Gary H. Kahn, Herbert L. Brown, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
| 10-03719 | 11/04/2011 | Claimant(s): Jack Beattie
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marc S. Piven, Marc T. Danon, Diana A. Weiner
Hearing Site: Orlando, FL
| | $230,000 |
| 10-04362 | 11/04/2011 | Claimant(s): Emil Royers, Mary Royers
Claimant Lawyers(s): Rick Royers
Respondent(s): Anthony Pitstick, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Bert S Cliff, Harlita R. Tomlinson, Stephen John Schaller
Hearing Site: Cincinnati, OH
| | Expungement |
| 09-06200 | 11/04/2011 | Claimant(s): Michael Padilla, PTC Acquisitions
Claimant Lawyers(s): David Darnell
Respondent(s): Citigroup Global Markets., Morgan Stanley, Nat Di Carlo, Robert Martensen, Smith Barney, Smith Barney Consulting Group, The Catalina Group
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Dorothy B. Strackbein, David W. Dresnick, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04272 | 11/04/2011 | Claimant(s): Michele Perillo
Claimant Lawyers(s): Lawrence J. Felder
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Lanny M. Leff, Amy L. Wachs, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $0 |
| 10-01154 | 11/03/2011 | Claimant(s): Ernest Perea, Rita Perea
Claimant Lawyers(s): Thomas S. Reavely
Respondent(s): Ameriprise Financial Services., Michael Franke, Ryan Surber
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Herbert S. Bratt, Andrew R. Dick, Daniel E. Wright
Hearing Site: Des Moines, IA
| | Expungement |
| 10-03672 | 11/03/2011 | Claimant(s): Dale Scholl
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Gregory G. Wille, James P. O'Donnell, Richard H. Porter
Hearing Site: Milwaukee, WI
| | Expungement |
| 11-01291 | 11/02/2011 | Claimant(s): Joseph Trudel
Claimant Lawyers(s): Joseph Trudel
Respondent(s): Sharebuilder Securities Corporation
Respondent Lawyers(s): Curtis Martin
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | $0 |
| 08-01651 | 11/02/2011 | Claimant(s): Tule River Tribal Council, Tule River Tribe of the Tule River Reser
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): Bernard Machlovitch, Erin Callan, Frederick Frank, Hans Maentz, Howard Clark, Howard Plotkin, Mark Connally, Michael Drago, Peter Coleman, Richard Fuld, Scott Freidheim, Thomas Cruikshank, Thomas Russo
Respondent Lawyers(s): James G. Kreissman, Kathleen N. Massey, Ronald E. Wood, Todd S. Fishman
Arbitrator(s): James H. Frank, Robert P. Clifford, Edward A. Trabin
Hearing Site: Los Angeles, CA
| | Expungement |
