| 10-02321 | 10/12/2011 | Claimant(s): Lillian Valinsky Revocable Trust
Claimant Lawyers(s): Leonard P. Haberman
Respondent(s): Michael Ryan, Prime Capital Services.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Harvey Alan Blicksilver, James Conrad Sankpill, Sidney Turner
Hearing Site: Boca Raton, FL
|  | Expungement |
| 10-03580 | 10/12/2011 | Claimant(s): Jerry Douglas
Claimant Lawyers(s): R. Allen Kilgore
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Frank W. Virgin, Ronald Griffith Wilkins, E. Trice Laird
Hearing Site: Birmingham, AL
| | Expungement |
| 10-04159 | 10/12/2011 | Claimant(s): Stanley Schwarz
Claimant Lawyers(s): Thomas A. Sprague
Respondent(s): Wells Fargo Advisors, Drew Barlow
Respondent Lawyers(s): Yoonsun Chung
Arbitrator(s): Mary Ann M. Melchiorre, Doris J. Dabrowski, E. William Pastor
Hearing Site: Philadelphia, PA
| | $3,537 |
| 10-05193 | 10/12/2011 | Claimant(s): Ronald Altman
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): David Benedict, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Susan C. Lushing
Hearing Site: New York, NY
| | $6,494 |
| 07-02030 | 10/12/2011 | Claimant(s): Scott Johnson
Claimant Lawyers(s): Joseph F. Myers
Respondent(s): Buddie Ballard, Wachovia Securities
Respondent Lawyers(s): Deirdre Wolff, Hamilton Rial
Arbitrator(s): Louis J. Weber, Priscilla Kim Park, Carleton E. Blankenburg
Hearing Site: Dallas, TX
| | $0 |
| 10-03334 | 10/12/2011 | Claimant(s): Alphonse Lucchese
Claimant Lawyers(s): Robert F. Dionisi
Respondent(s): Alfred Weaver, Citigroup Global Markets., Robert Malenfant, Citi Smith Barney
Respondent Lawyers(s): Compliance Officer, T. Peter R. Pound
Arbitrator(s): William I. Carmen
Hearing Site: Boston, MA
| | $0 |
| 10-05749 | 10/11/2011 | Claimant(s): Joan Lane
Claimant Lawyers(s): William B. Hayes
Respondent(s): John Tyler, Capwest Securities.
Respondent Lawyers(s): Dale Hall, H Thomas Fehn
Arbitrator(s): Holly Stein Sollod, James B. Eichberg, Marilyn R. Lewis
Hearing Site: Denver, CO
| | $0 |
| 09-05426 | 10/11/2011 | Claimant(s): William McIroy
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): Linda T. Pellegrino, Charles L. Prothero, Gerald Joseph Coughlin
Hearing Site: Newark, NJ
| | Expungement |
| 09-07080 | 10/11/2011 | Claimant(s): Inge Lake Pre School.
Claimant Lawyers(s): Kim Taylor
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Anthony P. Connolly, Julian F. Santos, Stephanie M. Miller
Hearing Site: Newark, NJ
| | $12,063 |
| 10-03083 | 10/11/2011 | Claimant(s): Joan Schultz
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Daniel Deighan, Boogie Investment Group., Deighan Financial Advisors.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Harvey Alan Blicksilver, Floyd Edward Roberts, Irwin Baron
Hearing Site: Orlando, FL
| | $179,514 |
