| 12-01161 | 11/06/2014 | Claimant(s): Adam Behlman
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin LeBlang
Arbitrator(s): Charles P. Axelrod, Joseph W. Lodato, Linda J. Baer
Hearing Site: New York, NY
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| 13-02344 | 07/22/2014 | Claimant(s): Walter Prochorenko
Claimant Lawyers(s): Michael Farhi
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Susan L. Nardone
Arbitrator(s): Ernest Edward Badway, Linda J. Baer, Paul Allan Massaro
Hearing Site: Newark, NJ
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| 12-03265 | 04/11/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Adam Gurien
Respondent Lawyers(s): Andrew R. Macklin
Arbitrator(s): Linda J. Baer, Veronica Ann Williams, Zung T. Nguyen
Hearing Site: Newark, NJ
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| 12-02153 | 01/07/2014 | Claimant(s): Christine Frole
Claimant Lawyers(s): Blaine H. Bortnick
Respondent(s): Dennis Zaplin, Chase Investment Services Corp., Gregg Kleinbaum, Jason Navolio, Joseph Mignano
Respondent Lawyers(s): Lawrence R. Sandak
Arbitrator(s): Laura H. Goldzung, Linda J. Baer, Scott Mooney
Hearing Site: Newark, NJ
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| 12-01412 | 11/26/2013 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Robert Ainbinder
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Jerry P. DeNigris, Linda J. Baer, Bryan David Glass
Hearing Site: Newark, NJ
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| 11-00598 | 08/15/2013 | Claimant(s): Serge Nahas
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): David Finnegan, Keely D. Parr, Linda J. Baer, Michael F. Spellman
Hearing Site: New York, NY
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| 12-02291 | 06/05/2013 | Claimant(s): Caroline Kulik
Claimant Lawyers(s): Vlad G. Spitzer
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Joseph W. Lodato, Linda J. Baer, John Michael Richardson
Hearing Site: New York, NY
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| 12-03759 | 05/30/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Melissa A. Bevilacqua
Respondent(s): Jack Zotti
Respondent Lawyers(s): Jack Zotti
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
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| 11-00527 | 04/16/2013 | Claimant(s): James Ortenzio
Claimant Lawyers(s): John D. Singer
Respondent(s): Metlife Securities Inc.
Respondent Lawyers(s): Joseph C. O'Keefe
Arbitrator(s): Dwight Wassong, Linda J. Baer, David Morris Weiss
Hearing Site: Newark, NJ
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| 11-01297 | 12/08/2011 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Craig A. Vollono
Respondent(s): Jack Forlenza
Respondent Lawyers(s): Robert I. Rabinowitz
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
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