| 10-01483 | 08/17/2011 | Claimant(s): Marc G. Gaudreau IRA, Wendy L. Story IRA, Beers & Story 401K TTEE W Story & M Gaud
Claimant Lawyers(s): Bart W. Heemskerk
Respondent(s): Andrew Beaudry
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Brian J. Dunn, Philip S. Walker, Michael D. Grant
Hearing Site: Hartford, CT
|  | $0 |
| 10-04626 | 08/17/2011 | Claimant(s): Roseann Lee and Charles Lee
Claimant Lawyers(s): Charles Lee
Respondent(s): Brian Young
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
| | $0 |
| 09-05762 | 08/16/2011 | Claimant(s): Michael Young
Claimant Lawyers(s): Paula D. Shaffner
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jason Fedo
Arbitrator(s): Kathleen K. Murphy, Edward F. Koren, James T. McLaughlin
Hearing Site: Philadelphia, PA
| | $804,450 |
| 08-00252 | 08/16/2011 | Claimant(s): Marc Miller
Claimant Lawyers(s): Andrew Mills Holford
Respondent(s): First Union Securities., Robert White
Respondent Lawyers(s): Andrew R. Park, Robert Lee White
Arbitrator(s): Rebecca A. Bowman, Kathleen Maher Zouhary, Sandra Maurer Kelly
Hearing Site: Cleveland, OH
| | $0 |
| 09-03910 | 08/15/2011 | Claimant(s): Dorothy Rapp, Seymour Rapp, Seymour L. Rapp Trust
Claimant Lawyers(s): Joel H. Kaufman
Respondent(s): Dominic Nieto, Morgan Stanley & Co.
Respondent Lawyers(s): August "Jamie" H. Schupp
Arbitrator(s): Anthony J. Bove, Lee Hornberger, Carl E. Ver Beek
Hearing Site: Detroit, MI
| | $0 |
| 10-05581 | 08/15/2011 | Claimant(s): Albert and Elizabeth Douglas
Claimant Lawyers(s): Walter A Gilmore
Respondent(s): Stifel, Nicolaus & Co.., Peter Piccinini, Janney Montgomery Scott LLC
Respondent Lawyers(s): Carrie L. Chelko, Jeffrey C. Primiano
Arbitrator(s): Edward Blumstein
Hearing Site: Philadelphia, PA
| | $0 |
| 10-02006 | 08/12/2011 | Claimant(s): Arthur Ball
Claimant Lawyers(s): Steven M. Green
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Terry D. Anderson, Kevin K. Forrester, Rose Marie A. Boucher
Hearing Site: San Diego, CA
| | Expungement |
| 10-02870 | 08/12/2011 | Claimant(s): Barbara Lynn, Barbara A. Lynn Trust
Claimant Lawyers(s): Roland M. Cavalier
Respondent(s): Brian Robb, Stifel, Nicolaus & Co.., John Peters
Respondent Lawyers(s): James C. Browning, Jr.
Arbitrator(s): Bert S Cliff, Jeffrey M. Bain, Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | Stipulated Award and Expungement |
| 09-02545 | 08/12/2011 | Claimant(s): Michael Ghanadian
Claimant Lawyers(s): Russell C. Weigel
Respondent(s): Credit Suisse Securities (USA) LLC, Swiss American Securities Inc.
Respondent Lawyers(s): Allan N. Taffet, Joshua Klein
Arbitrator(s): David S. Billet, Orestes J. Mihaly, Carol Di Natale
Hearing Site: New York, NY
| | $0 |
| 10-01739 | 08/12/2011 | Claimant(s): Agnes Kane, James Kane
Claimant Lawyers(s): Raymond S. Carroll
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard S. Peskin, Dorothy E. Morris, Jay Alan Kranis
Hearing Site: New York, NY
| | $0 |
