| 12-01868 | 06/19/2013 | Claimant(s): Nicholas Mangone
Claimant Lawyers(s): Neal Brickman
Respondent(s): Tullett Prebon Financial Services LLC
Respondent Lawyers(s): Adam Pekor
Arbitrator(s): Robert L. Salzberg, Sandra Gale Behrle, Joel P. Mellis
Hearing Site: New York, NY
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| 11-03163 | 03/15/2013 | Claimant(s): Alan Hartman
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Daniel Altchek
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
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| 11-04523 | 01/25/2013 | Claimant(s): Brendan Sheehan
Claimant Lawyers(s): Vincent E. Bauer
Respondent(s): Standard Credit Securities Inc., Tradition Asiel Securities Inc.
Respondent Lawyers(s): Chaim A. Levin
Arbitrator(s): Leah G. Rabinowitz, Sandra Gale Behrle, John B. Myers
Hearing Site: New York, NY
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| 10-01812 | 12/14/2012 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): John K. Wells
Respondent(s): Hemant Singh
Respondent Lawyers(s): Philip L. Guarino
Arbitrator(s): Henry Tiffany, Sandra Gale Behrle, Alfred H. Kingon
Hearing Site: New York, NY
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| 12-01595 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Francis Bice
Respondent Lawyers(s): Francis Xavier Bice
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
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| 09-01241 | 12/11/2009 | Claimant(s): Nicholas Weiss
Claimant Lawyers(s): Stephen J. Nelson
Respondent(s): Saratoga Capital d/b/a Saratoga Cap
Respondent Lawyers(s): Kim Lauren Michael
Arbitrator(s): Saul W. Nirenberg, Sandra Gale Behrle, Robert S. Getman
Hearing Site: New York, NY
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| 08-01029 | 03/30/2009 | Claimant(s): Karen Wines
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin Choi
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
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| 08-00007 | 12/19/2008 | Claimant(s): Patricia Sharp
Claimant Lawyers(s): Patricia M. Sharp
Respondent(s): Charles Rappold, Gregory Brennan, B-Trade Services LLC
Respondent Lawyers(s): James H. Forte
Arbitrator(s): Roger M. Deitz, Sandra Gale Behrle, Farrell C. Glasser
Hearing Site: New York, NY
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| 08-00096 | 10/20/2008 | Claimant(s): Winnie Mou
Claimant Lawyers(s): Winnie Yukwing Mou
Respondent(s): State Farm Vp Management Corp.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Cecilia B. Loving, Sandra Gale Behrle, Stephen M. Gross
Hearing Site: New York, NY
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