| 12-00704 | 02/25/2013 | Claimant(s): Kenneth and Lorraine DeBritto
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Lewis J. Levey
Hearing Site: Ft. Lauderdale, FL
|  | Dismissed by Rule 12206 |
| 11-04592 | 02/20/2013 | Claimant(s): John Herl
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): John Greer
Respondent Lawyers(s): John Michael Greer
Arbitrator(s): Jack Stein, James W. Geiger, Daniel P. Lund
Hearing Site: Ft. Lauderdale, FL
| | $390,800 |
| 12-00949 | 02/20/2013 | Claimant(s): Anthonio Ricatti, Dana Ganci, Gloria Helman, John Ganci, Michael Allard
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter King
Arbitrator(s): Linda M. Granata, Michael A. Levin, Glenn Franklin Fuller
Hearing Site: Ft. Lauderdale, FL
| | Dismissed by Rule 12206 |
| 12-03432 | 02/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Glenn Berger
Respondent(s): David Price
Respondent Lawyers(s): David Craig Price
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Ft. Lauderdale, FL
| | |
| 11-01904 | 12/17/2012 | Claimant(s): Parviz Samii
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Michael A. Levin, David P. Slater, Paul J. Burkhart
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-01847 | 12/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Roger Haigney
Respondent Lawyers(s): Roger Gerard Haigney
Arbitrator(s): Richard S. Zaifert, Karen Z. Fischer, Daniel P. Lund
Hearing Site: Ft. Lauderdale, FL
| | |
| 11-01901 | 11/30/2012 | Claimant(s): Henry Weiss
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Steven Gerard Goerke, Jill Pilgrim, Marie G. Peterson
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-01948 | 10/16/2012 | Claimant(s): Michele Billings, Robert Billings
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): David P. Slater, Harold S. Stern, Fred Abramoff
Hearing Site: Ft. Lauderdale, FL
| | $1,336,460 |
| 11-02713 | 09/28/2012 | Claimant(s): Helen Puskadi, Helen Puskadi Living Trust UAD 8/14/03
Claimant Lawyers(s): William S. Isenberg
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 12-00737 | 09/27/2012 | Claimant(s): Evangelos Dimopoulos
Claimant Lawyers(s): Evangelos Dimopoulos
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sharon Kurgis
Respondent Lawyers(s): Jill M. Del Monico
Arbitrator(s): Jerrold Levine
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
