| 11-02984 | 05/01/2012 | Claimant(s): Joshua Bliss, E*Trade Securities LLC
Claimant Lawyers(s): John E. Bersin
Respondent(s): Sheila R. Mitchell Trust, Sherry Raymond Supplemental Needs Trust, Thomas J. Kolb Trust
Respondent Lawyers(s): Thomas J. Kolb
Arbitrator(s): Ronald Edward Hibbing, Suzanne M. Dallimore, P.C., Robert Harrison Schlosser
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-03870 | 05/01/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ciana Williams
Respondent(s): Bruce Katz
Respondent Lawyers(s): Bruce Benjamin Katz
Arbitrator(s): Irwin Kahn
Hearing Site: New York, NY
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| 11-00079 | 04/27/2012 | Claimant(s): Euro Pacific Capital.
Claimant Lawyers(s): Peter D. Schiff
Respondent(s): Pershing LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Thomas F. Ryan, Daniel Baruch Lidawer, Jeffrey L. Durkes
Hearing Site: Chicago, IL
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| 11-00831 | 04/27/2012 | Claimant(s): Jon Huerta
Claimant Lawyers(s): Johnathan Sack
Respondent(s): Macquarie Capital (USA) Inc.
Respondent Lawyers(s): Hema Chatlani
Arbitrator(s): John B. Myers, Linda Ashley, Ira S. Cure
Hearing Site: New York, NY
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| 11-01628 | 04/27/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Ronald Whitley
Respondent Lawyers(s): Ronald T Whitley
Arbitrator(s): Jane C. Carney
Hearing Site: Richmond, VA
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| 11-01732 | 04/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Aaron Redding
Respondent Lawyers(s): Aaron Redding
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
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| 11-02148 | 04/27/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): David J. Sullivan
Respondent(s): Thomas Cash
Respondent Lawyers(s): Jon P. Skelton
Arbitrator(s): Syma S. Kasdin
Hearing Site: Boca Raton, FL
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| 12-00096 | 04/27/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): David J. Sullivan
Respondent(s): Nicole Domnarski
Respondent Lawyers(s): Nicole Catherine Domnarski
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Providence, RI
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| 11-02227 | 04/26/2012 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): William Munier
Respondent Lawyers(s): William Munier
Arbitrator(s): Tom L. Peterson
Hearing Site: Boston, MA
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| 11-03712 | 04/26/2012 | Claimant(s): Michael Koegler
Claimant Lawyers(s): Marc O. Sheridan
Respondent(s): Blackbird North America
Respondent Lawyers(s): Shawn Dorsch
Arbitrator(s): Alfred H. Kingon
Hearing Site: New York, NY
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