| 11-04096 | 10/22/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Brent Hardy
Respondent Lawyers(s): Brent Odell Hardy
Arbitrator(s): Stephen P. Hoffman, Richard Peabody Preston, Dana R. Krajack
Hearing Site: Columbia, SC
| | |
| 11-01739 | 08/28/2012 | Claimant(s): Robert DePalo
Claimant Lawyers(s): Andrew J. Goodman
Respondent(s): Joseph Scire, Joyce Scire
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): C. Marcus Harris
Hearing Site: Columbia, SC
| | Expungement |
| 10-04155 | 07/18/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Alan Hollingsworth
Respondent Lawyers(s): Paul E. Tinkler
Arbitrator(s): Donald B. Vaden
Hearing Site: Columbia, SC
| | |
| 11-00486 | 06/06/2012 | Claimant(s): Steven Smith as Personal Representative
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Helen E. Huyler, Walter J. Wylie, Dana R. Krajack
Hearing Site: Columbia, SC
|  | Expungement |
| 10-02055 | 04/27/2012 | Claimant(s): Ronald Phillips
Claimant Lawyers(s): Richard B Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Ralph S. Paden, John D. Mattingly, John G. Shamp
Hearing Site: Columbia, SC
| | Expungement |
| 10-04964 | 12/27/2011 | Claimant(s): Rita Lois Robinson Trust
Claimant Lawyers(s): Andrew D Gowdown
Respondent(s): Wells Fargo Advisors, John Hodson
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): J. Kirkland Grant, Susan J. Buckley, Robert P. Porter
Hearing Site: Columbia, SC
| | $0 |
| 10-03779 | 11/23/2011 | Claimant(s): Cynthia A. Osofsky and R. Sidney Osofsky
Claimant Lawyers(s): R. Sidney Osofsky
Respondent(s): Bridget Shaw, Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): John F. Allgood
Hearing Site: Columbia, SC
| | $0 |
| 10-05504 | 10/13/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Stuart Kimball
Respondent Lawyers(s): Stuart K. Kimball
Arbitrator(s): Richard E. Miley
Hearing Site: Columbia, SC
| | |
| 11-00902 | 10/11/2011 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Richard Klukkert
Respondent Lawyers(s): Richard Klukkert
Arbitrator(s): Charles Sydnor Thompson
Hearing Site: Columbia, SC
| | |
| 09-05271 | 09/19/2011 | Claimant(s): Gerald Prud-homme & Barbara Prud'homme
Claimant Lawyers(s): Fred S. Clark
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Donald F. Winningham
Arbitrator(s): James C. Hoover
Hearing Site: Columbia, SC
| | $0 |
