| 10-01209 | 08/03/2011 | Claimant(s): Daniel Kramer
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Wachovia Securities, Michael Cobb
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Craig Scott Bartlett, Rick F. Suppa, Robert T. Costello
Hearing Site: Newark, NJ
|  | $60,000 |
| 10-00059 | 08/03/2011 | Claimant(s): Stamatis Astras
Claimant Lawyers(s): Robert Bertsch
Respondent(s): Mercer Capital Ltd.
Respondent Lawyers(s): Lynn G. Schultz
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 10-01489 | 08/03/2011 | Claimant(s): Ken Skuba, Warren Farms Inc
Claimant Lawyers(s): James Anderson
Respondent(s): Raymond James Financial Services., Robert Walen
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Muriel Desloovere, Pamela S. Townsend, Darryl C. Wilson
Hearing Site: Tampa, FL
| | $0 |
| 09-06264 | 08/02/2011 | Claimant(s): Judith Melzer, The Estate of Shephard W. Melzer
Claimant Lawyers(s): Mark Sauchelli
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Nancy Matta
Respondent Lawyers(s): Theodore A. Krebsbach
Arbitrator(s): Pamela H. Roderick, Catherine I. Gulevich, William P. Laino
Hearing Site: New York, NY
| | Expungement |
| 09-06607 | 08/02/2011 | Claimant(s): Bruce Anderson, Bruce M. Anderson Irrevocable Trust
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Holly Callen, Kasey Hafenbrack, Keith Witter, Askar Corp.
Respondent Lawyers(s): Keith A. Witter, Livia E. Babcock
Arbitrator(s): H. Steven Holtzman, Paul E. Flora, Robert Stephen Burns
Hearing Site: Tampa, FL
| | Expungement |
| 09-06722 | 08/02/2011 | Claimant(s): Lon Isaacson, Michael Trerotola, Stephen Trerotola, Lon B. Isaacson Associates
Claimant Lawyers(s): Lon B. Isaacson
Respondent(s): UBS Securities LLC, James Shelburne, Joseph Sulentor, UBS Financial Services Inc., Michael Ladge, Richard Frankel, Shawn Patt, UBS AG
Respondent Lawyers(s): Jeffrey W. Kramer, Kendra Canape
Arbitrator(s): Michael D. Harrison, Robert Elman, W. Alex King
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00722 | 08/02/2011 | Claimant(s): Antonio Calderon
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Michael Dean, Joyce L. Hurley, Nancy Jo Schwantes
Hearing Site: Las Vegas, NV
| | Expungement |
| 10-00847 | 08/02/2011 | Claimant(s): Linda Mellicker-Bhan
Claimant Lawyers(s): Nisha Wright
Respondent(s): David Klein, Centaurus Financial.
Respondent Lawyers(s): David Louis Klein, William D. Nelson
Arbitrator(s): James J. Moylan, Suanne M. Parro, Henry Eric Peitz
Hearing Site: Denver, CO
| | $220,466 |
| 10-03684 | 08/02/2011 | Claimant(s): Jeanette Kridel, Jeanette Loree Kridel Trust
Claimant Lawyers(s): William J. Kridel
Respondent(s): Citigroup Global Markets., Stephen Endlar, William Dodge
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Allan E. Johnson
Hearing Site: New York, NY
| | $0 |
| 09-06798 | 08/01/2011 | Claimant(s): Ed Hannon, Noel Hannon, Brooke Hannon, Drew Hannon
Claimant Lawyers(s): Devanshu L. Modi
Respondent(s): Sean Hannon, Epic Advisors
Respondent Lawyers(s): Sean Hannon
Arbitrator(s): Fred S. Pieroni, Charles L. Prothero, Matthew Steven Villa
Hearing Site: Newark, NJ
| | $533,216 |
