| 13-01652 | 06/24/2014 | Claimant(s): Sergio Zanini
Claimant Lawyers(s): Sherry M. Shore
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Bernard M. Levine, Stephen J. Patti, Michael Jaffe
Hearing Site: New York, NY
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| 13-02765 | 06/24/2014 | Claimant(s): Rosita Kaufman, Morgan Stanley
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Harry Javer, Renee Javer, Scott Javer, Stanley Javer
Respondent Lawyers(s): Michael P. Amad
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02928 | 06/24/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shira Forman
Respondent(s): Kieran Gutting
Respondent Lawyers(s): Anthony S. Bretz
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
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| 13-03694 | 06/24/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kris Stelzner
Respondent Lawyers(s): Kris Stanley Stelzner
Arbitrator(s): G. Marshall Abbey
Hearing Site: Chicago, IL
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| 13-02277 | 06/23/2014 | Claimant(s): Donald Wojnowski, John Tarpinian, Robert Ainbinder
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Bruce Meyers, Meyers Associates, L.P.
Respondent Lawyers(s): David A. Schrader
Arbitrator(s): Hugh N. Fryer, Nino Armienti, Michele S. Riley
Hearing Site: New York, NY
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| 12-04021 | 06/20/2014 | Claimant(s): George Simon, James Avola, Mark Wesley
Claimant Lawyers(s): George Papp Simon, James Paul Avola, Mark Christopher Wesley
Respondent(s): Bruno Fernandes, Ira Karaba, Apex Clearing Corporation
Respondent Lawyers(s): Charles Devore, Daphne Tippens Chisolm, Ira Scott Karaba
Arbitrator(s): Linda A. Allen, Lynne T. Albert, Matthew J. Hoysa
Hearing Site: Charlotte, NC
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| 12-04065 | 06/20/2014 | Claimant(s): Michael O'Hare
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Andrew Totman, Newedge USA
Respondent Lawyers(s): Gary S. Prish
Arbitrator(s): Robert Pincus, Jeffrey Bega, David John Reilly
Hearing Site: New York, NY
| | |
| 13-03499 | 06/20/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Gerald Coscia
Respondent Lawyers(s): Gerald Coscia
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
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| 14-00107 | 06/20/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): John Cox
Respondent Lawyers(s): John Cox
Arbitrator(s): Mark A. Myers
Hearing Site: Oklahoma City, OK
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| 12-01874 | 06/19/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Geschke, Joseph De Falco, Lawrence King
Respondent Lawyers(s): Michael Blumenfeld, Timothy N. Will
Arbitrator(s): Mandel E. Himelstein, Edward H. Davis, Thomas L. Marshall
Hearing Site: San Diego, CA
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