| 10-02820 | 07/28/2011 | Claimant(s): Jennifer Weintraub
Claimant Lawyers(s): Seth Huberman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
|  | Expungement |
| 09-06230 | 07/27/2011 | Claimant(s): JCE/CBI, Ltd.
Claimant Lawyers(s): Thane Tyler Sponsel
Respondent(s): Morgan Stanley, Toni Melinder
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Thomas A. Cipolla, Sherry R. Wetsch, Thomas C. Gallo
Hearing Site: Houston, TX
| | Stipulated Award and Expungement |
| 10-04748 | 07/27/2011 | Claimant(s): Joseph Roe
Claimant Lawyers(s): D. Daxton White
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Richard B. Lewis
Hearing Site: Indianapolis, IN
| | $425 |
| 09-06329 | 07/26/2011 | Claimant(s): Giovanni Savinovich
Claimant Lawyers(s): John A. Daniels
Respondent(s): Gordie Jamieson, John Lee, Banc of America Investment Services Inc.
Respondent Lawyers(s): John M. Lee, John Lukanski
Arbitrator(s): Dwight Wassong, Joseph H. Cerame, Richard V. Adams
Hearing Site: Newark, NJ
| | Expungement |
| 09-06623 | 07/26/2011 | Claimant(s): Richard Fahs
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Janet L. Brown, Jane Venckus Zirlis, Francis J. Pavetti
Hearing Site: Hartford, CT
| | $82,947 |
| 09-06707 | 07/26/2011 | Claimant(s): Michael Berovic, Berovic-Goshen Village LLC, Michael Berovic Revocable Living Trust
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Christian Sayre-Smith, KMS Financial Services.
Respondent Lawyers(s): Brian J. Poronsky
Arbitrator(s): Richard D. Fincher, John Barton Schannep, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | $242,056 |
| 10-02569 | 07/26/2011 | Claimant(s): William Jones
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Frank C. Fogl
Hearing Site: Charleston, WV
| | Expungement |
| 10-03340 | 07/26/2011 | Claimant(s): Ocean Research and Conservation Assoc
Claimant Lawyers(s): Matthew J. Barnes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Howard G. Meyers
Arbitrator(s): Marie G. Peterson
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04362 | 07/25/2011 | Claimant(s): Barbara Agranoff, Joseph Agranoff, Barbara Agranoff IRA, Joseph H. Agranoff IRA
Claimant Lawyers(s): Timothy L. Van Eman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Rosen
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Carol M. Stoner, Robert L. Washburn, Daniel R. LaMacchia
Hearing Site: Columbus, OH
| | $291,620 |
| 09-06787 | 07/25/2011 | Claimant(s): Jean Bernal, Jeannette McClennan, John McClennan, Manuel Bernal
Claimant Lawyers(s): Salvador Ongaro
Respondent(s): Attila Toth, Capwest Securities., Latitude Financial Services, Workman Securities Corporation
Respondent Lawyers(s): Attila Gyula Toth, Debra A. Jenks, H Thomas Fehn
Arbitrator(s): James E. Stark, Louis M. Parker, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $568,870 |
