| 09-06444 | 01/19/2011 | Claimant(s): Brian Casson, Patricia Casson
Claimant Lawyers(s): Miles M. Gersh
Respondent(s): James Mitchell, John Guyette, Thomas Miller, Community Bankers Securities
Respondent Lawyers(s): James M. Mitchell, Jeffrey J. Scott, John Brady Guyette, Steven S. Biss
Arbitrator(s): James J. Moylan, Marc H. Schtul, Bradford J. Lam
Hearing Site: Denver, CO
|  | $762,000 |
| 10-00883 | 01/19/2011 | Claimant(s): John Bartolomeo
Claimant Lawyers(s): John Doar
Respondent(s): Christopher Fenton, M&T Securities.
Respondent Lawyers(s): Catherine Grantier Cooley
Arbitrator(s): Jeffrey E. Stockholm, Robert J. Allen, Edward W. Morris
Hearing Site: Albany, NY
| | $30,300 |
| 10-01168 | 01/19/2011 | Claimant(s): Robert Reynolds, Susan Pitsch Reynolds, The 403-B Plan FBO Susan H. Pitch-Reynol, The Reynolds Living Trust U/A 6/14/03
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Ralph B. Perry, Mary M. O'Neil, Christopher William Shaw
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02986 | 01/19/2011 | Claimant(s): Mary Cascio
Claimant Lawyers(s): Mary P. Cascio
Respondent(s): Eric Bond, National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $4,720 |
| 09-03582 | 01/18/2011 | Claimant(s): Jason Schall
Claimant Lawyers(s): Mitchell Willoughby
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Menendez
Arbitrator(s): Glenn R. Oxner, Patricia Ann Tracey, Walter J. Wylie
Hearing Site: Columbia, SC
| | |
| 09-05185 | 01/18/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Brent Collier
Respondent Lawyers(s): Musa L. Eubanks
Arbitrator(s): Ralph S. Blascovich, Michael H. McConihe, Mona Koppel Mitnick
Hearing Site: Washington, DC
| | |
| 10-00773 | 01/18/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Kenneth Shaffer
Respondent Lawyers(s): Kenneth C. Shaffer
Arbitrator(s): Marlyn G. McClaskey, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 10-03140 | 01/18/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jason Latorre
Respondent Lawyers(s): Jason Frederick Latorre
Arbitrator(s): Michelle Jacobowitz Gallagher
Hearing Site: New York, NY
| | |
| 09-01057 | 01/18/2011 | Claimant(s): Robert Micley, IRA, The Williamstown Anesthesia MPP Plan CH, The Williamstown Anesthesia MPP Plan DM, The Williamstown Anesthesia MPP Plan RM
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Bonnie Sachs, David Boutin, David Kaplan, Ralph Worthington, Robert Maley, Gilford Securities Incorporated
Respondent Lawyers(s): Thomas E. Chase
Arbitrator(s): William S. Tagerman, Deborah B. Haskell, Irene Scharf
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
| 09-05393 | 01/18/2011 | Claimant(s): Paul Chaplin and Karen Chaplin, Wayne Chaplin and Arlene Chaplin
Claimant Lawyers(s): Scott M. Dimond
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): David M. Levine, Kevin A. Llinas, Bart Samuel Cohodas
Hearing Site: Miami, FL
| | Expungement |
