| 11-02696 | 09/10/2012 | Claimant(s): Harris Fried
Claimant Lawyers(s): Harris S. Fried
Respondent(s): Edward Grimpe, James Chahine, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Kimberly A. Gilmour, Dennis J. Levin, Theodore Israel Herold
Hearing Site: Boca Raton, FL
| | |
| 11-01262 | 07/17/2012 | Claimant(s): Gregg Smyth
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): VP Distributors Inc.
Respondent Lawyers(s): Thomas Mead Santoro
Arbitrator(s): Ellen J. Abrams, Lee Milich, Andrew David Kahng
Hearing Site: Boca Raton, FL
| | |
| 11-03446 | 06/28/2012 | Claimant(s): Joshua Zillmer
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): PNC Investments
Respondent Lawyers(s): Deborah I. Ecker
Arbitrator(s): Monica I. Salis, Bruce N. Sankin, Peter A. Cartwright
Hearing Site: Boca Raton, FL
| | |
| 10-00935 | 06/19/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross David Carmel
Respondent(s): Brian Miller
Respondent Lawyers(s): Arthur D. Koski
Arbitrator(s): Myron S. Dunay, Gary King, Judith Ann Ripps
Hearing Site: Boca Raton, FL
| | |
| 09-02937 | 05/04/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Brodie
Respondent(s): Jonathan Berstein
Respondent Lawyers(s): Carl F. Schoeppl
Arbitrator(s): Carl Shechter, Kevin S. Doty, Dale H. Van Scoyk
Hearing Site: Boca Raton, FL
| | |
| 10-01899 | 05/04/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Walter Vazquez
Respondent Lawyers(s): Walter Vazquez
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | |
| 11-02148 | 04/27/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): David J. Sullivan
Respondent(s): Thomas Cash
Respondent Lawyers(s): Jon P. Skelton
Arbitrator(s): Syma S. Kasdin
Hearing Site: Boca Raton, FL
| | |
| 10-04432 | 04/03/2012 | Claimant(s): Meri Ramazio, Tamara Smolchek
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Douglas K. Spaulding
Arbitrator(s): Harriet A. Kottick, Bonnie A. Pearce, Fred Abramoff
Hearing Site: Boca Raton, FL
| | |
| 11-03909 | 03/01/2012 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Alan Gross
Respondent Lawyers(s): Alan H. Gross
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | |
| 10-05384 | 01/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Juan Lariva
Respondent Lawyers(s): Brian D. Buckstein
Arbitrator(s): Myron S. Dunay
Hearing Site: Boca Raton, FL
| | |
