| 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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| 12-04312 | 06/14/2013 | Claimant(s): John Toman
Claimant Lawyers(s): Debra V. Achkire
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
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| 08-04812 | 06/13/2013 | Claimant(s): Gary Cattich
Claimant Lawyers(s): Gary Cattich
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Jarrott T. Miller, Douglas W. Oldfield, Edwin C. Shiver
Hearing Site: San Francisco, CA
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| 12-04365 | 06/13/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Gregory Andrews
Respondent Lawyers(s): Gregory A. Andrews
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Washington, DC
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| 09-05028 | 06/12/2013 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steven Stahlberg
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Laurel Littman Gothelf, Herbert L. Brown, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
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| 12-03569 | 06/12/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jonathan Kramer
Respondent(s): Robert Johnson
Respondent Lawyers(s): Robert Leland Johnson
Arbitrator(s): Alvin S. Milder
Hearing Site: Los Angeles, CA
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| 12-03628 | 06/12/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Keith Dagostino
Respondent Lawyers(s): Keith Michael Dagostino
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
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| 11-03303 | 06/11/2013 | Claimant(s): Michael Cappetto
Claimant Lawyers(s): Gregory S. Schaer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Dimarsico, Scott Blackburn, Sheila Mccullough
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Louis H. Miron, Walter C. Parrish, Daniel A. Pinkus
Hearing Site: Newark, NJ
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| 11-04653 | 06/11/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin MacAvoy
Respondent(s): Christopher Roumayeh
Respondent Lawyers(s): Christopher M. Roumayeh
Arbitrator(s): John F. Burns
Hearing Site: Detroit, MI
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| 12-00788 | 06/11/2013 | Claimant(s): Robert Meyer
Claimant Lawyers(s): Charles J. Uliano
Respondent(s): Edward Moldaver, Morgan Stanley
Respondent Lawyers(s): David Robbins, Kevin B. Walker
Arbitrator(s): Charles A. Crocco, Michael L.B. Kaplan, Louis P. Wagman
Hearing Site: Newark, NJ
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