| 10-05233 | 07/22/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Gregory Costello, North Brae Capital Group.
Respondent Lawyers(s): Gregory J. Costello
Arbitrator(s): Jerome H. Levy, James S. Hazard, Howard A. Baker
Hearing Site: New York, NY
|  | $0 |
| 09-03670 | 07/22/2011 | Claimant(s): Robert Banks, Vita Banks, Robert R. Banks IRA, Vita Banks IRA
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James P. Delphey
Arbitrator(s): Jo-Ann C. Little, Judith A. Gust, Sally G. Williams
Hearing Site: San Diego, CA
| | Expungement |
| 09-07271 | 07/21/2011 | Claimant(s): Roger Fross
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): John K. Notz, Ann Wilhelmina Kuppe, Elena P. Anastasiou
Hearing Site: Chicago, IL
| | Expungement |
| 10-00728 | 07/21/2011 | Claimant(s): Raymond Masiliunas
Claimant Lawyers(s): Sandor L. Grossman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Sondra Sellars
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 08-04586 | 07/21/2011 | Claimant(s): Daniel Staton, Staton Family Investments, Ltd.
Claimant Lawyers(s): Martin P. Russo
Respondent(s): Christopher Jacobs, Gerald Schwinn, James Dickson, Margot Dwyer, Merrill Lynch Pierce Fenner & Smith Inc., The Jacobs Team
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Frances D. Sheehy, Morton D. Siegel, Allen Robin
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04594 | 07/21/2011 | Claimant(s): Daniel V. Igoe
Claimant Lawyers(s): Daniel V. Igoe
Respondent(s): John Orlando, Michael Petrusha, Mickey Mclellan, Peter Andolpho
Respondent Lawyers(s): David G. Hutchison, David Feingold
Arbitrator(s): Paul W. Sterman
Hearing Site: Boca Raton, FL
| | $0 |
| 10-00353 | 07/21/2011 | Claimant(s): Keith Newman, Shaila Newman
Claimant Lawyers(s): Keith Newman, Shaila Newman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Randall W Heinrich
Hearing Site: Houston, TX
| | $0 |
| 10-05763 | 07/21/2011 | Claimant(s): John P. Fowlds and Brenda J. Fowlds
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): James Galloway, PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | $0 |
| 11-00380 | 07/21/2011 | Claimant(s): Dale Gibbons
Claimant Lawyers(s): Dale Gibbons
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith A. Faro
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | $88 |
| 10-01449 | 07/20/2011 | Claimant(s): Lang Velka, Philip Velka
Claimant Lawyers(s): Lang Velka, Philip Velka
Respondent(s): Christopher Beckett, James Orr, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Audrey H. Ruben
Hearing Site: Los Angeles, CA
| | Expungement |
