| 10-01641 | 07/20/2011 | Claimant(s): Kurt Bochner, Bochner Oakwood Plaza LLC, Kurt Bochner K.B. Trust LLC
Claimant Lawyers(s): David Liebrader
Respondent(s): Kenneth Mcdonald, Crown Capital Securities L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Philip W. Burge, Elliott Zachary Seff, Donald A. Duncan
Hearing Site: Los Angeles, CA
|  | Expungement |
| 10-04344 | 07/20/2011 | Claimant(s): Legends Bank
Claimant Lawyers(s): John M Edgar
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas K. Potter, III
Arbitrator(s): Monica I. Salis, Beverly S. Gordon, Domitilia M. dos Santos
Hearing Site: Nashville, TN
| | Stipulated Award and Expungement |
| 10-03226 | 07/20/2011 | Claimant(s): Ann Ozark
Claimant Lawyers(s): Joseph L. Ozark
Respondent(s): Ameriprise Financial Services., Joyce Hoban
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Bernard Herman
Hearing Site: Philadelphia, PA
| | $75 |
| 10-03839 | 07/20/2011 | Claimant(s): Arthur Manaselian
Claimant Lawyers(s): Benajamin Lapin
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Kevin J Mulrey, Leon E. Byng, Allen W. Fullerton
Hearing Site: Boston, MA
| | $0 |
| 09-03016 | 07/19/2011 | Claimant(s): Vickie Parrish, EB and Vickie Tedesco Family Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): Wells Fargo Investments, Jon Erickson, Patricia Fontan-Sorlie
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Laurel Littman Gothelf, Dean C. Abraham, Dee Newell
Hearing Site: Las Vegas, NV
| | Expungement |
| 09-06246 | 07/19/2011 | Claimant(s): Ben Pivnick, The Ben Pivnick Revocable Living Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): James W. Geiger, Eugene D. Mirabello, Sidney Turner
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-03470 | 07/19/2011 | Claimant(s): Alexander A. Flores and Tiziana Rinaldi
Claimant Lawyers(s): Alexander Albert Flores
Respondent(s): Frank Davidson, Matthew Cox
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Brian J. Burstin
Hearing Site: New York, NY
| | $9,691 |
| 10-00432 | 07/19/2011 | Claimant(s): Roberta Press Living Trust
Claimant Lawyers(s): Russell L Forkey
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Monica I. Salis, Joseph L. Bernstein, Jay Stewart Zeif
Hearing Site: Boca Raton, FL
| | $0 |
| 10-02024 | 07/19/2011 | Claimant(s): Jakob Muller, Mary Byrnes, Muri Trust
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Andrew Siegel, Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): George W. Harding, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | $0 |
| 10-02268 | 07/18/2011 | Claimant(s): Margarita Bueno
Claimant Lawyers(s): Margarita Bueno
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Joseph L. Bernstein, Adrien Sapiro, Jezabel Llorente
Hearing Site: Miami, FL
| | Expungement |
