| 10-03332 | 06/14/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Milton Harkrader
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Mitchell S. Friedman
Hearing Site: New York, NY
| | |
| 10-05400 | 06/14/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Brian Graham
Respondent Lawyers(s): Gregg M. Rzepczynski
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
| 11-04518 | 06/13/2012 | Claimant(s): Robert Willoughby
Claimant Lawyers(s): Robert Willougby
Respondent(s): Josephthal & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
| | |
| 11-01126 | 06/12/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D Weinreich
Respondent(s): Edgar Ramirez, Rene Joliot, Romel Rodriguez
Respondent Lawyers(s): Margaret E. Peper
Arbitrator(s): Barbara J. Glenns, Romaine L. Gardner, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 11-01689 | 06/12/2012 | Claimant(s): Indra Campbell
Claimant Lawyers(s): Indra D Campbell
Respondent(s): Cesar Hernandez, Gustavo Hernandez, Global Strategic Investments
Respondent Lawyers(s): Cesar Gabriel Hernandez, Don Lee, Gustavo Adolfo Hernandez
Arbitrator(s): William R. Alheim
Hearing Site: Miami, FL
| | |
| 11-02098 | 06/12/2012 | Claimant(s): Williams Trading LLC
Claimant Lawyers(s): Philip J. Campisi
Respondent(s): Christopher Murphy, Jeremy Weemhoff, Mark Janssens, Access Securities
Respondent Lawyers(s): David S. Smith, John P. Barry
Arbitrator(s): Irene C. Warshauer, Joan Marie Chiusano, Gregory J. Getz
Hearing Site: New York, NY
| | |
| 11-03962 | 06/12/2012 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Kenneth Miller
Respondent Lawyers(s): Emile Joseph
Arbitrator(s): Leonard J. Sullivan
Hearing Site: New Orleans, LA
| | |
| 10-01915 | 06/11/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Maria V. Martin
Respondent(s): Enrique Hurtado
Respondent Lawyers(s): Bruce V. Schewe
Arbitrator(s): Patricia A. Renovitch, W. Patrick Baker, Richard William Wise
Hearing Site: New Orleans, LA
| | |
| 10-02527 | 06/11/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Goldberg
Respondent(s): George Sinanis
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Gerald C. Tambe, Mary Margaret Bush, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | |
| 11-03913 | 06/11/2012 | Claimant(s): Daniel Davis, Jerome Skow
Claimant Lawyers(s): Michael C. Moran
Respondent(s): Patricia Rugg, Stephen Rugg
Respondent Lawyers(s): Patricia A. Rugg, Stephen H. Rugg
Arbitrator(s): Mark A. Myers
Hearing Site: Jackson, MS
| | Expungement |
