| 11-03824 | 06/14/2013 | Claimant(s): Robyn Zivic
Claimant Lawyers(s): Jonathan Rogin
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Joan M. Traub, Judith P. Brooks, Gregory J. Getz
Hearing Site: New York, NY
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| 11-02699 | 03/26/2013 | Claimant(s): Lori Koh
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): James R. Duncan, Ralph B. Perry, Robert B. Hansohn
Hearing Site: Los Angeles, CA
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| 11-03124 | 03/14/2013 | Claimant(s): James Kuczmarski
Claimant Lawyers(s): Michael G. Berger
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick Shea
Arbitrator(s): Annamaria Boccia Smith, David J. Weisenfeld, Kevin P. Feerick
Hearing Site: New York, NY
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| 10-02107 | 11/06/2012 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Zamir Siddiqi
Respondent Lawyers(s): Richard D. Burstein
Arbitrator(s): Robert J. Ruben, Anita Rae Shapiro, Stephen Gary Holmes
Hearing Site: Los Angeles, CA
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| 11-02442 | 10/02/2012 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Angelina Chew
Respondent(s): Jon Javellana, Kenneth Ro, Barclays Capital Inc.
Respondent Lawyers(s): Christopher A. Stecher, Naki Irvin
Arbitrator(s): Robert A. Lombardi, Eric Gad Forster, Ara Kassabian
Hearing Site: Los Angeles, CA
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| 10-03544 | 11/02/2011 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): William B. Fleming
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Larry A. Kimmel, Maive R. Dale, Michael Ross
Hearing Site: New York, NY
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| 10-01428 | 09/07/2011 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Andrea Perry Block
Respondent(s): Edelmiro Hernandez, Jack Petersen, Tom Kalaris
Respondent Lawyers(s): Andrea Perry Block, Douglas A. Kahle
Arbitrator(s): Robert A. Fabricant, Cindy L. Anderson, Barry David Thorpe
Hearing Site: Miami, FL
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| 10-03444 | 07/28/2011 | Claimant(s): John Wilson
Claimant Lawyers(s): Paul T. Shoemaker
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Robert N. Holtzman
Arbitrator(s): Alida D. Camp, Sherri L. Hughes, Ellyn S. Roth
Hearing Site: New York, NY
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| 09-03587 | 10/08/2010 | Claimant(s): Thomas Whalen
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Joseph J. Arata, Melvin S. Slade, Joseph Louis Sherman
Hearing Site: New York, NY
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| 10-01071 | 06/18/2010 | Claimant(s): Diana Ricketti
Claimant Lawyers(s): Sheree Donath
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Mary Costa
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
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