| 11-02359 | 01/23/2012 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): John Macphee
Respondent Lawyers(s): Lee Stephen MacPhee
Arbitrator(s): William H. McCarter
Hearing Site: Boston, MA
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| 09-02800 | 01/20/2012 | Claimant(s): James Minchello, Martha Sullivan, Robert Minchello
Claimant Lawyers(s): Peter R. Pendergast
Respondent(s): Citigroup Global Markets., Citigroup.
Respondent Lawyers(s): Michele A. Coffey
Arbitrator(s): Jack A. Marshall, Susan E. Maloney, Joseph Charles Kennedy
Hearing Site: Boston, MA
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| 11-00818 | 11/16/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Michael Ewanouski
Respondent Lawyers(s): Michael Adam Ewanouski
Arbitrator(s): David Love
Hearing Site: Boston, MA
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| 10-04572 | 11/15/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): Jay Korff
Respondent Lawyers(s): Andrea Mobilia
Arbitrator(s): Roger L. Crossland
Hearing Site: Boston, MA
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| 09-05786 | 10/13/2011 | Claimant(s): Harley Kaplan, Beta Industries.
Claimant Lawyers(s): Chesley Oriel
Respondent(s): Timothy Shanahan, Compass Capital Corporation, Compass Securities Corporation
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Joan Stearns Johnsen, William I. Carmen, Zenon Charles Tencza
Hearing Site: Boston, MA
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| 10-03257 | 08/25/2011 | Claimant(s): Richard Denerstein
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Lawrence Brazie, Westminster Financial Securities.
Respondent Lawyers(s): Edward D. Muransky
Arbitrator(s): Richard J. Grahn, Pamela E. Berman, Peter Andrew Marx
Hearing Site: Boston, MA
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| 11-00891 | 08/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Cataldo
Respondent Lawyers(s): Robert A. Cataldo
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
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| 10-03549 | 07/13/2011 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Andrew T. Solomon
Respondent(s): Martin Joyce
Respondent Lawyers(s): Megan E. Perrotta
Arbitrator(s): Chesley Oriel, William S. Tagerman, Nickolas F. Monteforte
Hearing Site: Boston, MA
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| 10-02618 | 07/12/2011 | Claimant(s): Mark Porter
Claimant Lawyers(s): Richard M. Gelb
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): June Y. Kilmarx, Paul F. Marandett, Steven S. Manos
Hearing Site: Boston, MA
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| 10-01866 | 06/30/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Pauline Sheedy
Respondent Lawyers(s): Peter F. Carr
Arbitrator(s): Shari B. Broder
Hearing Site: Boston, MA
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