| 11-03198 | 10/01/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): James Upham
Respondent Lawyers(s): James Upham
Arbitrator(s): Robert P. Porter
Hearing Site: Raleigh, NC
| | |
| 10-04112 | 09/28/2012 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Charles Strickler
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Charles E. Farnsworth, Joseph M. O'Connor, Daniel Martell
Hearing Site: San Francisco, CA
| | |
| 11-04605 | 09/28/2012 | Claimant(s): Robert Willoughby
Claimant Lawyers(s): Robert Willoughby
Respondent(s): EKN Financial Services Inc.
Respondent Lawyers(s): Bradley D. Schnur
Arbitrator(s): Alida D. Camp
Hearing Site: New York, NY
| | |
| 10-03909 | 09/27/2012 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne K. Yannakakis
Respondent(s): Douglas Bohrer
Respondent Lawyers(s): Douglas Bohrer
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
| | |
| 11-02084 | 09/27/2012 | Claimant(s): Richard Dumont
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael H. Gibson
Arbitrator(s): Sandor I. Rabkin, John Joseph Cotter, Frank Sanclemente
Hearing Site: Boston, MA
| | |
| 12-00269 | 09/27/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Maria Fernando
Respondent Lawyers(s): Maria Elena Fernando
Arbitrator(s): Charles A. Crocco
Hearing Site: Newark, NJ
| | |
| 11-03080 | 09/26/2012 | Claimant(s): Samuel Borger
Claimant Lawyers(s): Samuel J Borger
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kenneth O'Connor
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 11-04163 | 09/25/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Mark Manly
Respondent Lawyers(s): Mark E. Manly
Arbitrator(s): Richard D. Rosenbloom
Hearing Site: Buffalo, NY
| | |
| 11-04425 | 09/25/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): James Ward, Jr.
Respondent Lawyers(s): James Oather Ward
Arbitrator(s): R. Phillip Reed, David B. Lacks, Matthew R. Salamon
Hearing Site: Little Rock, AR
| | |
| 12-00241 | 09/25/2012 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Detroy Womack
Respondent Lawyers(s): Detroy Lee Womack
Arbitrator(s): Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | |
