| 11-02710 | 12/11/2012 | Claimant(s): Rebecca Ann Storniolo-Co-Trustee & Benef
Claimant Lawyers(s): George L. Mahr
Respondent(s): Bruce Fadem, Dennis Stanek, Glenn Montgomery, RBC Dain Rauscher.
Respondent Lawyers(s): Sandra D. Grannum, Thomas D. Flinn
Arbitrator(s): Kip C. Lubcke, Morton S. Bunis, Jodi A. Hopkinson
Hearing Site: Newark, NJ
|  | Expungement |
| 11-01651 | 04/20/2012 | Claimant(s): Lawrence Ennis
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Simone A. Muscarnera
Hearing Site: Newark, NJ
| | |
| 10-05276 | 12/23/2011 | Claimant(s): John Puglisi
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Lori H. Carena
Hearing Site: New York, NY
| | Expungement |
| 10-04194 | 02/08/2011 | Claimant(s): David Lerner Associates.
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): David Asulin
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Simon S. Kogan, Harrison Johnson, Mark J. Russell
Hearing Site: New York, NY
| | |
| 10-02699 | 11/12/2010 | Claimant(s): Wells Fargo Investments, David Logsdon
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Janice Corkery
Respondent Lawyers(s): Thomas C. Bradley
Arbitrator(s): George H. Speciale
Hearing Site: Boise, ID
| | Expungement |
| 09-05747 | 03/11/2010 | Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Joseph J Sullivan
Respondent(s): Juan Bermudez
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 09-00861 | 09/01/2009 | Claimant(s): Helen Howard
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Wells Fargo Investments, David Logsdon
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): William G. Binckes, Carol E. Weir, Kevin B. Naughten
Hearing Site: New York, NY
| | Expungement |
| 07-01037 | 06/10/2009 | Claimant(s): Charles Bever
Claimant Lawyers(s): Michael McDonough
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Harry L. Sheehy, Michael I. White, Bridget A. Mitchell
Hearing Site: Des Moines, IA
| | |
| 08-00263 | 06/08/2009 | Claimant(s): Lisa Ditkowsky
Claimant Lawyers(s): Kenneth Ditkowsky
Respondent(s): Alan Dubrow, David Forlow, Gary Chesin, Melissa Kelpsch, A.G. Edwards & Sons., Robert Batchen
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Wallace H. Hastings, Thomas S. Wallace, Leon Fox
Hearing Site: Chicago, IL
| | |
| 07-00440 | 03/13/2009 | Claimant(s): Clyde Crutcher
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): New England Securities
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Albert Shawe Watkins, Christopher J. Janson, David B. Lacks
Hearing Site: St. Louis, MO
| | $366,000 |
