| 11-03116 | 05/22/2013 | Claimant(s): Michael Stief
Claimant Lawyers(s): Marie Mirch
Respondent(s): Adam Antoniades, Alan Marcum, Catherine Cosgrove, Chapin Giordano, Craig Dindinger, David Rogers, Donna Bartlett, Dwight Badger, Garrett Merrill, Keith Daubenspeck, Michael Marderosian, Advanced Equities., First Allied Securities.
Respondent Lawyers(s): Jeffrey Compton, Marie Mirch, Michael Frederick Marderosian
Arbitrator(s): James O. Johnson, William L. Merkin, Sally G. Williams
Hearing Site: San Diego, CA
|  | Expungement |
| 12-02192 | 12/20/2012 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Marion J. Vomhof
Respondent(s): Todd Fritz
Respondent Lawyers(s): Todd Allen Fritz
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | |
| 10-03909 | 09/27/2012 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne K. Yannakakis
Respondent(s): Douglas Bohrer
Respondent Lawyers(s): Douglas Bohrer
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
| | |
| 11-00862 | 06/06/2012 | Claimant(s): Melaine LLC
Claimant Lawyers(s): Richard Kraut
Respondent(s): Neal Deutsch, Chestnut Investment Group, First Allied Securities.
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Linda R. Alpert, Linda Ashley, Sheryl-Anne Sastow
Hearing Site: New York, NY
| | $0 |
| 11-03184 | 04/27/2012 | Claimant(s): Barry Adelman
Claimant Lawyers(s): Joseph E. Kluger
Respondent(s): John Gager, Thomas Schorn, First Allied Securities.
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Philadelphia, PA
| | $25,425 |
| 09-02672 | 11/29/2011 | Claimant(s): James Carter, James A. and Annette Carter Charitable R
Claimant Lawyers(s): Brett Alcala
Respondent(s): Blair Mielke, First Allied Securities.
Respondent Lawyers(s): James M. Grady, Matthew D Watkins
Arbitrator(s): Ralph H. Erickson, Jeffrey E. Skogsbergh, William Lee Krantz
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 10-01116 | 11/14/2011 | Claimant(s): Michael Di Pietro
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Kenneth E. Owen, Larry Haugaard, Morris S. Getzels
Hearing Site: Los Angeles, CA
| | |
| 10-02076 | 11/11/2011 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne K Yannakakis
Respondent(s): David Reneau
Respondent Lawyers(s): Ron S. Iddins
Arbitrator(s): Robert H. Putnam, David K. Weiskircher, Judith Stilz Ogden
Hearing Site: Atlanta, GA
| | |
| 10-03798 | 07/29/2011 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne Yannakakis
Respondent(s): Humbert Michini
Respondent Lawyers(s): Humbert A. Michini
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 09-01447 | 02/19/2010 | Claimant(s): Annette Hines
Claimant Lawyers(s): Lee Bowie
Respondent(s): Ladd Grapski, FFP Securities., First Allied Securities.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Clayton J. Borne
Hearing Site: Jackson, MS
| | $26,150 |
