| 11-02818 | 10/08/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Grant Andreasen
Respondent Lawyers(s): David W. Gutke
Arbitrator(s): David W. Dresnick
Hearing Site: Las Vegas, NV
| | |
| 11-03803 | 08/26/2013 | Claimant(s): Mark Robertson
Claimant Lawyers(s): David R. Koch
Respondent(s): Equity Services.
Respondent Lawyers(s): Ian McKenny
Arbitrator(s): Alan M. Rosen, Stephen F. Kempa, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
| | |
| 12-04141 | 07/25/2013 | Claimant(s): David Morris, Jane Morris
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Courtney M. Rogers Reid
Arbitrator(s): Robert E. Jenks, David L. Moran, Thomas J. Tanksley
Hearing Site: Las Vegas, NV
|  | Dismissed by Rule 12504 |
| 12-00809 | 05/28/2013 | Claimant(s): Fae Silver
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Paul H. Lamboley, Merrill Dean Taylor, John G. Manley
Hearing Site: Las Vegas, NV
| | Expungement |
| 12-01974 | 05/07/2013 | Claimant(s): Ronald Damiani
Claimant Lawyers(s): Ronald Gene Damiani
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Michael Dean, David L. Moran, Robert Dean McKinley
Hearing Site: Las Vegas, NV
| | Dismissed by Rule 12206 |
| 11-02639 | 04/12/2013 | Claimant(s): Floyd Matheney, Mary Matheney, Floyd Matheney IRA, Mary Matheney IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Ameriprise Financial Services., Matthew Fournier
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): William C. Turner, Melvin S. Feldman, William Ogburn Huggins
Hearing Site: Las Vegas, NV
| | Expungement |
| 10-02660 | 03/14/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken Massey
Respondent(s): Nathan Lorbietzki
Respondent Lawyers(s): M. Lani Esteban-Trinidad
Arbitrator(s): Michael R. Mitchell, M. Nelson Segel, George Frederick Garris
Hearing Site: Las Vegas, NV
| | |
| 11-04279 | 03/05/2013 | Claimant(s): Bank of Nevada
Claimant Lawyers(s): Garrett W. Wotkyns
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Audette Paul Morales, Justin DeCamp
Arbitrator(s): James H. McAvoy, Steven A. Budin, Ernest F. Modzelewski
Hearing Site: Las Vegas, NV
| | Expungement |
| 11-03801 | 12/27/2012 | Claimant(s): Brenda Y. Ward Living Trust DTD 2/3/04
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): CM Securities a/k/a CMC Financial S
Respondent Lawyers(s): William D. Schuller
Arbitrator(s): Stanley H. Herbst, Dee Newell, William Ogburn Huggins
Hearing Site: Las Vegas, NV
| | $445,800 |
| 12-02230 | 11/19/2012 | Claimant(s): Richard & Patricia Ornstein
Claimant Lawyers(s): Richard Ornstein
Respondent(s): Seth Grano
Respondent Lawyers(s): Dave Lenny
Arbitrator(s): Dee Newell
Hearing Site: Las Vegas, NV
| | $11,450 |
