| 09-06162 | 09/09/2011 | Claimant(s): Maya Sherrill, Nida Sherrill
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): John J. Hearn
Hearing Site: Ft. Lauderdale, FL
|  | $225 |
| 09-07108 | 09/08/2011 | Claimant(s): Todd Simon
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Bruce Keplinger, Thomas J. Pleiss, James Edward Nash
Hearing Site: Omaha, NE
| | $290,625 |
| 11-00218 | 09/08/2011 | Claimant(s): Thomas Hunter
Claimant Lawyers(s): Thomas M. Hunter
Respondent(s): Kel Stovall, Roger Wilkinson
Respondent Lawyers(s): Deirdre C. Wolff, Roger Wilkinson
Arbitrator(s): Lita S Menkin
Hearing Site: Atlanta, GA
| | $0 |
| 10-01320 | 09/06/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD, DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Pacific Ventures Asso. 401K, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum, Michael Hume
Respondent(s): Wells Fargo Investments, John Milia, Michael Gates
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03867 | 09/06/2011 | Claimant(s): Patricia Neel
Claimant Lawyers(s): George S. Trevor
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Richard L. Rubin, Juleanne A. Thiebaut, Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
| 10-01604 | 09/06/2011 | Claimant(s): Connie Hage
Claimant Lawyers(s): Steve Virgil
Respondent(s): Larry James, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea M. Greene, Kathryn L. Dietrich
Arbitrator(s): Carl F. Bowmer
Hearing Site: Raleigh, NC
| | $0 |
| 05-00698 | 09/02/2011 | Claimant(s): John Vance, Kent Blair, Lenard Briscoe, Richard Reynolds, Ronald Clough, Steve Sanders, Blair Minerals Ltd., Crandall & Sanders., Craig and Rae Blair, Tim and Cheri Blair, Richard Reynolds Living Trust
Claimant Lawyers(s): Joseph H. Bocock, Mark K. Stonecipher
Respondent(s): Marsha Schubert
Respondent Lawyers(s): Marsha K. Schubert
Arbitrator(s): Jan Preece Gaddis, Cleve W. Powell, David Keith Lesher
Hearing Site: Oklahoma City, OK
| | $867,000 |
| 10-02338 | 09/02/2011 | Claimant(s): Stephen Rowland
Claimant Lawyers(s): Christopher W. Madel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bryan I. Reyhani
Arbitrator(s): Edward C. Oliver, Joan L. Volz, JD Haas
Hearing Site: Minneapolis, MN
| | $50,000 |
| 10-03612 | 09/02/2011 | Claimant(s): Ronald Tranquillo
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Stephen T. Rodriguez, Suzanne E. Reynolds-Brady, Stuart M. Schwartz
Hearing Site: Albany, NY
| | $65,642 |
| 10-04445 | 09/02/2011 | Claimant(s): Evanna Ondeck Cohen Rev Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): John R. Pepe, Benjamin L. Abramowitz, Harvey Alan Blicksilver
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
