| 10-03275 | 04/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan Weinreich
Respondent(s): Grant Mellon
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Emily J. Lewis
Hearing Site: Pittsburgh, PA
| | |
| 11-02964 | 04/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Misti Pope
Respondent Lawyers(s): Misti Lee Pope
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | |
| 11-03231 | 04/19/2012 | Claimant(s): Esposito Securities
Claimant Lawyers(s): Katy L. Sheppard
Respondent(s): Stephen Capurso
Respondent Lawyers(s): Brian J. Hurst
Arbitrator(s): Daniel A. Kile, Richard C. Corse, Joseph G. Werner
Hearing Site: Dallas, TX
| | |
| 10-03273 | 04/18/2012 | Claimant(s): Jeffrey Prior
Claimant Lawyers(s): Jaime Gill Santos
Respondent(s): Bbva Compass Investment Solutions
Respondent Lawyers(s): A. Kelly Brennan Bolvig
Arbitrator(s): Henry L. Dahl, Deborah Miriam Lavinsky
Hearing Site: Phoenix, AZ
| | |
| 10-05815 | 04/18/2012 | Claimant(s): Richard Greene
Claimant Lawyers(s): Lawrence E. Skidmore
Respondent(s): Azlina Harun, Linnajo Dombroski, Principal Life Insurance Company, Princor Financial Services Corporation, Principal Financial Group
Respondent Lawyers(s): Charles E. Coleman, Linnajo Dombroski, Sheena Jain
Arbitrator(s): Michelle Judy Brant, Jerold R. Babin, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | |
| 10-05818 | 04/18/2012 | Claimant(s): Robert Higley
Claimant Lawyers(s): Earnest W. Wotring
Respondent(s): James Bashaw, JEB NEWCO, L.L.C., James E. Bashaw & Co.
Respondent Lawyers(s): David E. Wynne
Arbitrator(s): David G. Beerbower, Jack Chapline Vaughan, Stephen T. Johnson
Hearing Site: Houston, TX
| | |
| 11-02465 | 04/17/2012 | Claimant(s): Floyd Berger
Claimant Lawyers(s): John Da Grosa Smith
Respondent(s): John Welsh
Respondent Lawyers(s): John E. Robinson
Arbitrator(s): W. William Harness
Hearing Site: Atlanta, GA
| | |
| 11-03467 | 04/17/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): James Yarbrough
Respondent Lawyers(s): James Yarbrough
Arbitrator(s): Jack W. Windt
Hearing Site: Tampa, FL
| | |
| 11-00145 | 04/16/2012 | Claimant(s): Nicole Cannava
Claimant Lawyers(s): Tyson R. Ence
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Allison Huppe
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
| | |
| 11-00311 | 04/16/2012 | Claimant(s): Shearman, Ralston Inc.
Claimant Lawyers(s): Caren S. Brutten
Respondent(s): Ridge Clearing & Outsourcing Solutions
Respondent Lawyers(s): Jonathan Kurta
Arbitrator(s): John B. Morgan, Fred Shinagel, Anthony Charles Ginetto
Hearing Site: New York, NY
| | |
