| 11-04017 | 05/22/2012 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James E. Siegel
Respondent(s): Thomas Tartaglia
Respondent Lawyers(s): Thomas Lewis Tartaglia
Arbitrator(s): Michael H. DuBoff, Arnold Wagner, Murray Cwass
Hearing Site: New York, NY
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| 09-01814 | 05/21/2012 | Claimant(s): Enrique Pascual
Claimant Lawyers(s): Jose Antonio Pagan
Respondent(s): Santander Securities Corp of PR
Respondent Lawyers(s): Heidi L. Rodriguez Benitez
Arbitrator(s): Monroe Mitchel, Francisco E. San Miguel, Rex D.K. Seymour
Hearing Site: San Juan, PR
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| 10-03660 | 05/21/2012 | Claimant(s): Danny Spiegel, Gaurav Lall, Tamir Shabat
Claimant Lawyers(s): Ian J. Frimet
Respondent(s): Reuven Enterprises Securities Division,, Synergy Investment Group
Respondent Lawyers(s): Ian J. Frimet, Marci Goldstein Kokalas, Esq.
Arbitrator(s): Lise Gabrielle Hunter, Susan Manca, Ronald J. Colombo
Hearing Site: New York, NY
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| 09-02555 | 05/18/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Peter Zeman
Respondent Lawyers(s): Peter Zeman
Arbitrator(s): Keith J. Koerber, Brace K. Case, Kenneth Rochlen
Hearing Site: Detroit, MI
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| 10-03627 | 05/18/2012 | Claimant(s): John Turbeville
Claimant Lawyers(s): John D. Coulter
Respondent(s): Erin Eason
Respondent Lawyers(s): Grant E. Fortson
Arbitrator(s): John A. Davis, J. Maxwell Williams, Christopher J. Janson
Hearing Site: Little Rock, AR
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| 11-01965 | 05/18/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Kip Mack
Respondent Lawyers(s): Kip Mack
Arbitrator(s): John C. Yeoman
Hearing Site: Atlanta, GA
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| 11-03805 | 05/18/2012 | Claimant(s): William Macdonald
Claimant Lawyers(s): Theodore C. Peters
Respondent(s): Retirement Capital Group Securities
Respondent Lawyers(s): C. William Pollock
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
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| 10-00048 | 05/17/2012 | Claimant(s): John Galinsky
Claimant Lawyers(s): Michael J. Lohnes
Respondent(s): Dwight Badger, Keith Daubenspeck, Advanced Equities.
Respondent Lawyers(s): Jeffrey S. Fowler
Arbitrator(s): Ann Wilhelmina Kuppe, Richard J. Belmonte, Glenn A. Zipp
Hearing Site: Chicago, IL
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| 11-02686 | 05/17/2012 | Claimant(s): John Dadd
Claimant Lawyers(s): John Dadd
Respondent(s): Fiserv Investor Services.
Respondent Lawyers(s): Michael Gordon
Arbitrator(s): Susan C. Lushing, Richard D. Gueren, Julian F. Santos
Hearing Site: New York, NY
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| 11-04477 | 05/17/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): William Lindgren
Respondent Lawyers(s): William Bood Lindgren
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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