| 10-01482 | 06/30/2011 | Claimant(s): Denice Niethammer
Claimant Lawyers(s): Denice Niethammer
Respondent(s): Robert Roth, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
|  | Expungement |
| 10-02988 | 06/30/2011 | Claimant(s): Deanna Chesnut
Claimant Lawyers(s): Deanna Chesnut
Respondent(s): Cal Smith, Wells Fargo Investments, James Gatto, James Jackson, Jeremy Reynolds, Lewis Shuffler, Pat Robertson, Wells Fargo & Company, Wells Fargo Investment Group
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
| | $11,266 |
| 10-02458 | 06/30/2011 | Claimant(s): David Dateshidze, Irakli Glonti
Claimant Lawyers(s): Arnold I. Kalman
Respondent(s): RBC Dain Rauscher.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): James J. Fishman, Lucas A. Ferrara, Judith E. Gross
Hearing Site: New York, NY
| | $0 |
| 11-00098 | 06/30/2011 | Claimant(s): Edi Franceschini, Lucinda Franceschini
Claimant Lawyers(s): Edi Franceschini
Respondent(s): TIAA-CREF Individual & Institutional Svc
Respondent Lawyers(s): Carranza M. Pryor
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | $163 |
| 09-06014 | 06/29/2011 | Claimant(s): Anthony Balzebre, Dorothy Balzebre, Balzebre Alpha LP
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Bernard A. Becker, John J. Hearn, Richard K. Hrebik
Hearing Site: Miami, FL
| | Expungement |
| 10-01997 | 06/29/2011 | Claimant(s): Anne Bradshaw
Claimant Lawyers(s): Jeff S. Daniel
Respondent(s): Wachovia Securities, Nancy Lipham
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): John G. Manley
Hearing Site: Birmingham, AL
| | $43,579 |
| 11-00485 | 06/29/2011 | Claimant(s): Claire Cicalese
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Gregory Kwasnicki
Respondent Lawyers(s): Gregory Thomas Kwasnicki
Arbitrator(s): Richard D. DeVita
Hearing Site: Newark, NJ
| | $157,000 |
| 09-03299 | 06/29/2011 | Claimant(s): Joel LeVahn, Jolene LeVahn
Claimant Lawyers(s): Lisa M. Lamm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Eckerline
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Roger D. Johnson, Joan L. Volz, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 10-02791 | 06/29/2011 | Claimant(s): Eugene Colucci
Claimant Lawyers(s): Donald G. McGrath
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Jeffrey Mark Schwartz, Eugene M. Setel, Peter A.P. Dunlop
Hearing Site: Buffalo, NY
| | $0 |
| 10-05317 | 06/29/2011 | Claimant(s): Larry E. Tolbert and Jon C. Tolbert
Claimant Lawyers(s): Larry E. Tolbert
Respondent(s): Zions Direct.
Respondent Lawyers(s): Leigh Davis Schmidt
Arbitrator(s): Carol M. Stoner
Hearing Site: Charleston, WV
| | $213 |
