| 10-03102 | 05/23/2012 | Claimant(s): Esrick Investments, SME Capital, SME Children
Claimant Lawyers(s): John W. Waechter
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Matthew Triggs
Arbitrator(s): Jacque E. Sohm, Stephen I. Gilman, Peter A. Portley
Hearing Site: Boca Raton, FL
|  | Expungement |
| 11-00571 | 05/04/2012 | Claimant(s): Dennis Herman
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Cheryl Black, Harold Eylward, J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Edward Baer, James M. Baumann, Ann C. Northern
Hearing Site: New York, NY
| | $0 |
| 10-03792 | 04/26/2012 | Claimant(s): Ashley Furniture Industries.
Claimant Lawyers(s): Jennifer A. Waters
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jonathan K. Youngwood
Arbitrator(s): Terry F. Peppard, David J. Hase, Victor A. Shier
Hearing Site: Milwaukee, WI
| | $1,900,000 |
| 11-01039 | 04/20/2012 | Claimant(s): Florence Pesce
Claimant Lawyers(s): Florence Pesce
Respondent(s): J.P. Morgan Securities, Banc One Securities Corporation
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Jeffrey M. Bain, Gregory P. Szuter, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
| | $0 |
| 10-03421 | 03/21/2012 | Claimant(s): John Koren
Claimant Lawyers(s): David Valicenti
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Barry Quint, Kenneth Dymond, Sheri J. Caplan
Hearing Site: Hartford, CT
| | $0 |
| 09-06175 | 12/16/2011 | Claimant(s): Estelle Gangi, William Gangi, William and Estelle Gangi Irrev. Trust
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Brian Purpura, J.P. Morgan Clearing Corp., J.P. Morgan Securities, Scott Siegel
Respondent Lawyers(s): David B. Wechsler, Timothy E. Di Domenico
Arbitrator(s): Linda T. Pellegrino, Dwight Wassong, Scott M. Pellegrino
Hearing Site: Newark, NJ
| | $0 |
| 10-01403 | 11/07/2011 | Claimant(s): Alliance Semiconductor Corp.
Claimant Lawyers(s): Robert S. Chapman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jonathan K. Youngwood
Arbitrator(s): Gary H. Kahn, Herbert L. Brown, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
| 09-07085 | 09/27/2011 | Claimant(s): Louisiana Citizens Property Insurance Co
Claimant Lawyers(s): James R Swanson
Respondent(s): J.P. Morgan Securities, Bear, Stearns & Co..
Respondent Lawyers(s): Jonathan K. Youngwood
Arbitrator(s): Robert R. Wolf, Donald Milo Helton, William Gilbert Faulk
Hearing Site: New Orleans, LA
| | $0 |
| 09-02264 | 07/22/2011 | Claimant(s): Smith, Moore & Co.
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael P. Manley
Arbitrator(s): Frederick Michael Switzer, James M. Stern, David A. Fingerhut
Hearing Site: St. Louis, MO
| | |
| 08-01185 | 07/11/2011 | Claimant(s): Laurence Stone
Claimant Lawyers(s): Eric Meyer
Respondent(s): J.P. Morgan Clearing Corp., J.P. Morgan Securities, Bear Stearns Asset Management.
Respondent Lawyers(s): Edward W. Larkin, Gene L Small
Arbitrator(s): Dale A. Pope, Gordon M. Wase, Jerrilyn G. Marston
Hearing Site: Philadelphia, PA
| | $0 |
