| 11-01262 | 07/17/2012 | Claimant(s): Gregg Smyth
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): VP Distributors Inc.
Respondent Lawyers(s): Thomas Mead Santoro
Arbitrator(s): Ellen J. Abrams, Lee Milich, Andrew David Kahng
Hearing Site: Boca Raton, FL
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| 11-02575 | 07/17/2012 | Claimant(s): Michael Higgins
Claimant Lawyers(s): Mannie Kalman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Debra Brothers Self, Richard Djokic, Kenneth Harry Combs
Hearing Site: Albuquerque, NM
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| 09-04716 | 07/16/2012 | Claimant(s): Alan Hunt, Kenneth Casey, Michael Cappa, Scott Siemers, Estate of Ronald Hal Davis
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Guggenheim Capital Markets
Respondent Lawyers(s): Patrick C. Harrigan
Arbitrator(s): Dan Brecher, Joseph B. Russell, Alice Holly Oshins
Hearing Site: New York, NY
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| 11-00792 | 07/16/2012 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank N.A.
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Morgan Stanley, Timothy Soderquist
Respondent Lawyers(s): J. Scott Paul, John S. Lutz
Arbitrator(s): Bruce Brown, Edward F. Altman, Richard Djokic
Hearing Site: Denver, CO
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| 11-04544 | 07/16/2012 | Claimant(s): Eduard Van Raay
Claimant Lawyers(s): Martin F. Gusy
Respondent(s): Raymond James Financial Services., Raymond James Financial Services Advisor
Respondent Lawyers(s): Ann M. Hensler
Arbitrator(s): Patricia Gunn
Hearing Site: Orlando, FL
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| 11-02661 | 07/13/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): John Ekman
Respondent Lawyers(s): Robert Zeglovitch
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
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| 11-04380 | 07/13/2012 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Elyse W. Grant
Respondent(s): Anissa Cooke
Respondent Lawyers(s): Anissa Lynette Cooke
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
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| 10-01399 | 07/12/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Andrew Park
Respondent(s): Gary Collins
Respondent Lawyers(s): Gary Collins
Arbitrator(s): Stephen P. Hoffman, Joe Carroll Thomas, Wesley M. Walker
Hearing Site: Charlotte, NC
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| 11-02320 | 07/12/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Paul Saxenmeyer
Respondent Lawyers(s): Paul Saxenmeyer
Arbitrator(s): George J. Blutstein
Hearing Site: Ft. Lauderdale, FL
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| 11-02379 | 07/12/2012 | Claimant(s): Point Capital Markets, Point Capital Partners
Claimant Lawyers(s): James Mahon
Respondent(s): Whitney Quillen
Respondent Lawyers(s): Stephen DeRosa
Arbitrator(s): Randolph Guggenheimer, Peter P. Skomorowsky, Martin Deignan Dehler
Hearing Site: New York, NY
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