| 11-01055 | 02/10/2012 | Claimant(s): John Francois
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Zions Direct.
Respondent Lawyers(s): Bart K. Larsen
Arbitrator(s): Laurel Littman Gothelf, Thomas J. Tanksley, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
|  | $36,050 |
| 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 |
| 10-02267 | 12/19/2011 | Claimant(s): Jennifer Cross
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): J. Maxwell Williams
Hearing Site: Memphis, TN
| | Expungement |
| 10-02950 | 11/01/2011 | Claimant(s): Richard Guido
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Dora M. Lassinger, Ernesto V. Luzzatto, David Jeremy Mattana
Hearing Site: New York, NY
| | Expungement |
| 09-06573 | 10/26/2011 | Claimant(s): Robert Goldenberg
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Douglas Castro, Charles Schwab & Co..
Respondent Lawyers(s): Dan Rabinovitz
Arbitrator(s): Diane Getzler, Stephen M. Gross, Gregory J. Getz
Hearing Site: New York, NY
| | Expungement |
| 10-05028 | 09/30/2011 | Claimant(s): William Dale Kelly and Joan Hull Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Lawrence Miller, Investment Security Corporation
Respondent Lawyers(s): Lawrence Benjamin Miller, Lee David Lubin
Arbitrator(s): Ferdinand Schoch, Gary S. DeWeese, Richard Ullman
Hearing Site: San Francisco, CA
| | $0 |
| 10-02949 | 09/13/2011 | Claimant(s): Eugene Russo, Mary Cammarano
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael Zaretsky
Arbitrator(s): Leona Beane, Harold Glenn Stafford, David J. Weisenfeld
Hearing Site: New York, NY
| | Expungement |
| 09-06683 | 09/01/2011 | Claimant(s): Thomas Campagna
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Gary Goldberg, Gary Goldberg & Co..
Respondent Lawyers(s): Gary Mark Goldberg
Arbitrator(s): Michael E. Olney, Jill I. Gross, Susan Y. Chin
Hearing Site: New York, NY
| | $0 |
| 09-01760 | 08/27/2010 | Claimant(s): Alvin Trenk
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Joseph B. Russell, Brian F Loveman, Stevan J. Bosses
Hearing Site: New York, NY
| | $0 |
| 08-03300 | 06/18/2010 | Claimant(s): Richard Jedwab and Marilyn Jedwab
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Fred L. Simon, Ellyn S. Roth, Jeffrey P. Halperin
Hearing Site: New York, NY
| | $0 |
