| 09-03222 | 06/28/2011 | Claimant(s): Doris Cacace
Claimant Lawyers(s): Nicholas J. Taldone
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J Zaretsky
Arbitrator(s): James M. Baumann, Charles L. Prothero, Nathan J. Minucci
Hearing Site: Newark, NJ
|  | Expungement |
| 09-05898 | 06/28/2011 | Claimant(s): Daniel L. Villanueva Family Trust
Claimant Lawyers(s): Aimee E. Dominguez
Respondent(s): Wedbush Securities Inc., Javier Jimenez
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Suzanne Viau Chamberlain, David Maurer, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $89,100 |
| 10-00520 | 06/28/2011 | Claimant(s): Alan Mendelson and Peggy Mendelson
Claimant Lawyers(s): Ian E. Bjorkman
Respondent(s): Geoffrey Gregory, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Todd H. Cox
Arbitrator(s): Francis J. Pavetti, Marissa A. Santangelo, Houston Putnam Lowry
Hearing Site: Hartford, CT
| | Expungement |
| 10-03876 | 06/28/2011 | Claimant(s): Keith Minnema
Claimant Lawyers(s): David E. Robbins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Walter A. Kapuscinski, Morton S. Bunis, Neal D. Baker
Hearing Site: Newark, NJ
| | Expungement |
| 09-04827 | 06/28/2011 | Claimant(s): Charles Vorwaller, Duane Sanders, James Thomas, Shirley Sanders, Woodrow Cole
Claimant Lawyers(s): James M. Thomas
Respondent(s): Shannon Bryant, Allianz Life Financial Services
Respondent Lawyers(s): Lawrence J. Field, Leif T. Simonson
Arbitrator(s): Arthur E. Otten, Bradford J. Lam, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | $0 |
| 10-04510 | 06/28/2011 | Claimant(s): Jonathan Landow
Claimant Lawyers(s): Bernard Nathan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, George Gordon, Walter Anderson
Respondent Lawyers(s): Erin Durba, Walter Randolph Anderson
Arbitrator(s): Michael E. Olney, Marguerite B. Filson, Abigail J. Pessen
Hearing Site: New York, NY
| | $0 |
| 09-03967 | 06/27/2011 | Claimant(s): Donald Burwell, Marjorie Burwell
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Kenneth A. Bravo
Arbitrator(s): Frank C. Fogl, James Dale Ellis, Mark L. Ferris
Hearing Site: Cleveland, OH
| | Expungement |
| 10-01695 | 06/27/2011 | Claimant(s): Clifford Newton, Dorothy Newton
Claimant Lawyers(s): Charles A. Morehead
Respondent(s): Thomas Shaw, Suntrust Bank
Respondent Lawyers(s): Frederick S Schrils
Arbitrator(s): Cindy L. Anderson, William H. McCullough, Angelo J. Infantino
Hearing Site: Jacksonville, FL
| | Expungement |
| 10-02818 | 06/27/2011 | Claimant(s): Jane Wiborg, Lloyd Wiborg, Jane S. Wiborg Trust dtd 7/28/86
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): John K. Swearingen, Kenneth W. Gosliner, James Edward Forbes
Hearing Site: San Francisco, CA
| | $376,658 |
| 10-03249 | 06/27/2011 | Claimant(s): Raymond F. and Margaret A. Mendez Revoca
Claimant Lawyers(s): Raymond F. Mendez
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Matthew P. Fischer
Arbitrator(s): Patrick J. Halter
Hearing Site: Albuquerque, NM
| | $225 |
