| 09-02897 | 01/11/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Brian Walsh, Stifel, Nicolaus & Co.., Kevin Healy
Respondent Lawyers(s): Andrew J. Shapren
Arbitrator(s): Martin Mushkin, Cheryl Feldman, Joseph R. Sahid
Hearing Site: New York, NY
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| 11-01413 | 01/11/2013 | Claimant(s): Tullett Prebon Americas Corp., Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Robert M. Abrahams
Respondent(s): Anthony Arcabascio, Charles Comparetto, Gregory Golden, Michael Palladino, Pierce Ryan, Richard Clarkson, Robert Steiniger, Thomas Killeen, Timothy Horan, BGC Financial, L.P.
Respondent Lawyers(s): Eric Seiler, Nicholas J. Boyle
Arbitrator(s): Paul K. Barenholtz, Martin H. Zern, Anthony Dennis Perri
Hearing Site: New York, NY
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| 10-04918 | 01/10/2013 | Claimant(s): Lehman Brothers Holdings Inc
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Joseph Boutross
Respondent Lawyers(s): Joseph Boutross
Arbitrator(s): Alan M. Wolper, Howard Z. Gopman, Allen D. Schwartz
Hearing Site: Chicago, IL
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| 09-06899 | 01/07/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Iman Dauod
Respondent Lawyers(s): Iman Dauod
Arbitrator(s): Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
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| 12-01465 | 01/07/2013 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Anthony Fisher
Respondent Lawyers(s): Anthony John Fisher
Arbitrator(s): Stan West, Robert S. Natiss, Peter A. Cartwright
Hearing Site: Boca Raton, FL
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| 11-01696 | 01/04/2013 | Claimant(s): Theodore Pavlovich
Claimant Lawyers(s): Theodore Adam Pavlovich
Respondent(s): Mark Mekler, Raymond, James & Associates.
Respondent Lawyers(s): Marko J. Mrkonich
Arbitrator(s): Douglas Randall Blohm, John W. MacKimm, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
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| 11-01914 | 01/04/2013 | Claimant(s): Gregory Torretta
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Marguerite B. Filson, Paul S. Biederman, Joel Morton Newman
Hearing Site: New York, NY
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| 12-00040 | 01/04/2013 | Claimant(s): Paul Alegi
Claimant Lawyers(s): Gregory R. Piche
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Nikole L. Canute
Arbitrator(s): Andrew R. Dick, Jeffrey A. Schuh, David F. Schmitz
Hearing Site: Minneapolis, MN
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| 11-02778 | 01/03/2013 | Claimant(s): Lloyd Daniel
Claimant Lawyers(s): Lloyd James Daniel
Respondent(s): Allstate Financial Services
Respondent Lawyers(s): Jan Douglas Atlas
Arbitrator(s): Jack Chapline Vaughan, Onnig Hatchig Dombalagian, Richard Devlin Roussel
Hearing Site: New Orleans, LA
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| 12-02173 | 01/03/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Douglas Campbell
Respondent Lawyers(s): Douglas Walter Campbell
Arbitrator(s): John P. Cullem, Linda Fairchild, Margaret R. Hoyt
Hearing Site: Orlando, FL
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