| 12-00385 | 08/21/2013 | Claimant(s): Richard Groff, Wealth Management International, Ltd.
Claimant Lawyers(s): Edwin A. Barkel
Respondent(s): Adam Carlini, Jackie Groff, Jennifer Carlini, Dynamic Wealth Management LLC
Respondent Lawyers(s): Cory L. Braddock, Edwin A. Barkel
Arbitrator(s): Charles W. Herf, Eugene R. Nielson, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | |
| 10-03554 | 07/03/2013 | Claimant(s): College Health and Investment, Ltd.
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Paul W. Sterman, Will Murphy, Kenneth E. Merklen
Hearing Site: Boca Raton, FL
|  | $2,752,050 |
| 11-03627 | 01/30/2013 | Claimant(s): Alessandrina Deprizio, Carmela DiMare, Florence DiMare, Wilton Manor, Ltd.
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Securities America., Thomas Reynolds
Respondent Lawyers(s): Chad Weaver, Sandor Grossman
Arbitrator(s): Sheldon I. Saitlin, Woodrow A. Sutton, Theresa A Gillerlain
Hearing Site: Chicago, IL
| | Expungement |
| 10-04965 | 10/04/2012 | Claimant(s): Brian O'Grady, The O'Grady Family Partnership, Ltd.
Claimant Lawyers(s): Sheldon E. Richie
Respondent(s): Brett Schulick, David Miller, River Oaks Capital Management.
Respondent Lawyers(s): Andrew Leibowitz
Arbitrator(s): Philip I. McConnell, Lynne M. Gomez, William R. Jonson
Hearing Site: Houston, TX
| | $3,988,180 |
| 11-00064 | 08/27/2012 | Claimant(s): Dana Farmer, J. Farmer, Limpinbear Family Partnership, Ltd.
Claimant Lawyers(s): Daniel A. Wartell, Perry L. Glantz
Respondent(s): Bruce Dibiase, J.P. Morgan Securities, Peter Landgraff, J.P. Morgan Chase Bank, N.A.
Respondent Lawyers(s): Jonathan W. Rauchway
Arbitrator(s): James B. Eichberg, Lawrence J. Madden, Sheldon Edward Friedman
Hearing Site: Denver, CO
| | Expungement |
| 11-01421 | 06/15/2012 | Claimant(s): Granada Enterprises., Estate of Justyn C. Rosen, Rosen Family Associates, Ltd., Rosen Investments, LLLP, Justyn C. Rosen 1988 Irrevocable Ins Tst, Justyn C. Rosen Marital Trust No. 1, Justyn C. Rosen Trust for Marian Rosen, Marsha Zimmerman Irrevocable Trust, Rosen Investment Trust No. 1, Rosen Investment Trust No. 2, Sharon Irrevocable Trust 3/1/85, Sharon J. Mandel Irrevocable Trust, Sharon Rosen Trust by Marian Rosen Trust
Claimant Lawyers(s): Michael H. Berger
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Samuel L. McClaren, Baldwin Ranson, Andrew Barton
Hearing Site: Denver, CO
| | $0 |
| 09-03602 | 06/01/2012 | Claimant(s): Janet Garcie, Sharon Grosskopf, Walter Grosskopf, The Janet K. Garcie Revocable Trust, The Walter and Sharon Grosskopf Trust
Claimant Lawyers(s): Janet Garcie, Walter & Sharon Grosskopf
Respondent(s): Audrey Kuwabara, James Nagle, Michael Ning, Arque Capital, Ltd.
Respondent Lawyers(s): Jared R.B. Hutton, Shirley Hayton
Arbitrator(s): Mandel E. Himelstein, Kevin K. Forrester, D. Brad Callen
Hearing Site: San Diego, CA
| | $0 |
| 10-00637 | 03/09/2012 | Claimant(s): Bristol Investment Fund, Ltd.
Claimant Lawyers(s): Thomas J. Fleming
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Christine Costigan, Lowell D. Johnston, John Franklin Udochi
Hearing Site: New York, NY
| | $0 |
| 11-02350 | 01/10/2012 | Claimant(s): SWBC Investment Services
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Greg Thompson, Titleist Asset Management, Ltd.
Respondent Lawyers(s): Royal B. Lea
Arbitrator(s): Linda Broocks, Arno C. Schwethelm, Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 11-04236 | 12/28/2011 | Claimant(s): David McAllister, McAllister Family Trust A, McAllister Family Trust B
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): Anthony Salino, Lynn Schultz, Mercer Capital, Ltd.
Respondent Lawyers(s): Anthony John Salino, Company President, Lynn Gordon Schultz
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
