| 12-02066 | 07/22/2013 | Claimant(s): John Santiago
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Joel P. Mellis
Hearing Site: New York, NY
|  | Expungement |
| 11-02571 | 07/10/2013 | Claimant(s): Edward Massey, Merrilyn Massey
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Robert L. Yeager, William E. Hartsfield, Andrea U. Calve
Hearing Site: Dallas, TX
| | Expungement |
| 12-01815 | 07/01/2013 | Claimant(s): Cynthia Undesser, John Undesser, Richard Undesser
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): William M. Getzoff, Rody P. Biggert, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | $0 |
| 13-00099 | 06/28/2013 | Claimant(s): Sheila Schweky
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 10-03339 | 06/25/2013 | Claimant(s): Lorraine Johnson
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Clave E. Gill, Jeffrey Ackermann
Hearing Site: New Orleans, LA
| | Expungement |
| 12-02081 | 06/18/2013 | Claimant(s): Harvey Loomstein Irrevocable Trust, Joseph Loomstein Irr Tr, The Mildred Loomstein GST Exempt Irrv Tr, The Mildred Loomstein GST Non-Exmpt Tr
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Jeffrey Stern, FSC Securities Corporation
Respondent Lawyers(s): Jason A. Richardson, Justin Sacca
Arbitrator(s): Louis J. Weber, Patricia B. Lehtola, Martha Z. Ralstin
Hearing Site: Dallas, TX
| | $0 |
| 12-01219 | 06/03/2013 | Claimant(s): Marilee Swanson, Marilee D. Swanson Roth IRA, Marilee D. Swanson Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Douglas J. Nesbit, Brett W. Olander, Jerome B. Simon
Hearing Site: Minneapolis, MN
| | $0 |
| 11-01984 | 04/22/2013 | Claimant(s): Spartan Marketing Limited
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Robert J. Kheel, Edward Buscemi, Annamaria Boccia Smith
Hearing Site: New York, NY
| | Expungement |
| 11-02418 | 04/16/2013 | Claimant(s): Alain Coello, Frank Braun, Leheng Lee, Yvonne Braun
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Anthony Giuliano III, John Thomas Financial
Respondent Lawyers(s): Anthony Frank Giuliano III, Robert M. Bursky
Arbitrator(s): Mitchell S. Friedman, Walter M. Schackman, Edwin H. Bennett
Hearing Site: New York, NY
| | Expungement |
| 11-02948 | 03/25/2013 | Claimant(s): Alfano Children Limited Partnership, The Alfano Family Charitable Foundation
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Dwight Wassong, Stuart S. Berman, David Morris Weiss
Hearing Site: Newark, NJ
| | Expungement |
