| 11-03825 | 08/08/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Brian Sak
Respondent Lawyers(s): William S. Bazianos
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
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| 11-04611 | 08/08/2012 | Claimant(s): United Planners' Financial Services of A
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Donald Bartelt
Respondent Lawyers(s): Donald Bartelt
Arbitrator(s): Patricia G. Parthe
Hearing Site: Phoenix, AZ
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| 12-00529 | 08/08/2012 | Claimant(s): Joseph Massaro
Claimant Lawyers(s): Joseph Vincent Massaro
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Richard Charles Hotvedt
Hearing Site: Baltimore, MD
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| 11-03823 | 08/07/2012 | Claimant(s): Bruce Zaret
Claimant Lawyers(s): Bruce Zaret
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): John Woodruff
Arbitrator(s): Arnold Wagner, Jeffery A. Hamer, Stephen Martin Friedberg
Hearing Site: New York, NY
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| 11-01675 | 08/06/2012 | Claimant(s): Russell King
Claimant Lawyers(s): Scott M. Ratchick
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): J. Rice Ferrelle
Arbitrator(s): Joel Steven Arogeti, Consuelo L. Kertz, James Albert Nofi
Hearing Site: Atlanta, GA
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| 10-00375 | 08/03/2012 | Claimant(s): Chris Jones, Wealth Rescue Strategies.
Claimant Lawyers(s): Clifford B. Altfeld, Todd S. Neal
Respondent(s): David Wheless, Robert Thompson, Sally Thompson, First Texas Alliance Corporation, NuSource Financial Group
Respondent Lawyers(s): Leonard J. Meyer, Mitchell S. Ostwald
Arbitrator(s): Harvey C. Flodin, Gunnar Thowsen, Nancy J. Spieczny
Hearing Site: San Diego, CA
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| 11-02090 | 08/02/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Turner
Respondent Lawyers(s): James Turner
Arbitrator(s): Deborah C. Bernot, Stephanie P. Lebhar, Robert Miller Lawder, CLU
Hearing Site: Phoenix, AZ
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| 11-03441 | 08/01/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jameile Cawley
Respondent Lawyers(s): Edward Fergreus
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 12-00075 | 08/01/2012 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Donald Watson
Respondent Lawyers(s): Donald Watson
Arbitrator(s): Douglas Martin Crow
Hearing Site: Portland, OR
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| 12-00902 | 08/01/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): John Ebanietti
Respondent Lawyers(s): John Blaise Ebanietti
Arbitrator(s): Alan Shaw
Hearing Site: Newark, NJ
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