| 12-03263 | 05/23/2013 | Claimant(s): Marylyn Siewert Cust Michael Bellotti, Marylyn Stiewert Cust Zachery Rickenbach, Peter K. Siewert, IRA
Claimant Lawyers(s): Marilyn Siewert, Peter K. Siewert
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
|  | $163 |
| 12-00713 | 02/26/2013 | Claimant(s): Charles McCally, Judy McCally, Charles R. McCally Sr, IRA
Claimant Lawyers(s): Charles R McCally, Judy L McCally
Respondent(s): Optionshouse
Respondent Lawyers(s): Lesley G. Smith
Arbitrator(s): Arthur H. Geffen, Jeff Abrams, Jeffrey Richard Chiappetta
Hearing Site: Dallas, TX
| | $0 |
| 12-01717 | 11/19/2012 | Claimant(s): Karen L. Milia, IRA, Mark S. Milia
Claimant Lawyers(s): Mark S. Milia
Respondent(s): Christian Hammer-Huber, Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Ellen Holland Keller
Hearing Site: Cleveland, OH
| | $0 |
| 12-01549 | 11/08/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Charles S. Hoyt, IRA, SEP-IRA, Charles S. Hoyt & Nancy S. Hoyt
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Laurel Littman Gothelf, Jerold R. Babin, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01677 | 10/19/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Don Miller, Donald C. Miller Cust IRA Rollover, Donald C. Miller Cust Roth Contrib, IRA
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): James N. D'Orso, Jerold R. Babin, Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01952 | 09/28/2012 | Claimant(s): David Phillipes, Deanna Phillipes, IRA, David Phillipes and Deanna Phillipes
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): James Rapuano, John Johnson
Respondent Lawyers(s): James Michael Rapuano, John Michael Johnson
Arbitrator(s): Edward F. Koren
Hearing Site: Philadelphia, PA
| | $75,000 |
| 10-04170 | 09/10/2012 | Claimant(s): David DeBerry IRA, Rebecca DeBerry, IRA, David Keith DeBerry Irrevocable Trust I,, David Keith Deberry Irrevocable Trust II, DeBerry Revocable Living Trust, David an, Sharon Lynn DeBerry Irrevocable Trust I,, Sharon Lynn DeBerry Irrevocable Trust II, Sheila Ann DeBerry Lea Irrevocable Trust
Claimant Lawyers(s): Adam Nativ, Dale Ledbetter, George M. Fleming
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Douglas Edwards, George Frederick Garris, Dee Newell
Hearing Site: Las Vegas, NV
| | $0 |
| 10-03065 | 08/21/2012 | Claimant(s): Louis Kulekofsky, IRA
Claimant Lawyers(s): Alan J. Foxman
Respondent(s): Advest.
Respondent Lawyers(s): Bradley B Rounsaville
Arbitrator(s): Linda M. Granata, Lee Alan Rosenblum, Tina Scott Polsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-02695 | 07/20/2012 | Claimant(s): Donald P. Lenio, IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Susan Macfarlane
Arbitrator(s): David M. Levine
Hearing Site: Orlando, FL
| | Expungement |
| 09-06865 | 06/19/2012 | Claimant(s): David Shutan, IRA, David Shutan Revocable Trust, Irma Shutan Revocable Trust
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Jeffrey Sanders, Matt Winslow
Respondent Lawyers(s): Matt Winslow, Todd A. Zuckerbrod
Arbitrator(s): Steven R. Reininger, Joseph J. Slotnik, Joseph Leonard Friedes
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
