| 10-00299 | 03/27/2012 | Claimant(s): National Planning Corporation
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Michael Spencer
Respondent Lawyers(s): Walter L. Baumgardner
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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| 10-02253 | 03/27/2012 | Claimant(s): ICON Advisers., ICON Management & Research Corporation, Icon Distributors.
Claimant Lawyers(s): Bradford J. Lam, Donald Salcito
Respondent(s): Craig Callahan, Stephen Holmes, Adviser Dealer Services., Meeder Asset Management., Meeder Financial.
Respondent Lawyers(s): Darren Nadel, Derek Anderson, Stephen Abrams
Arbitrator(s): Bruce Brown, Edward F. Altman, Hazel E. Hanley
Hearing Site: Denver, CO
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| 11-03083 | 03/27/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Michael Hester
Respondent Lawyers(s): Michael John Hester
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
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| 11-03357 | 03/27/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clark
Respondent(s): Rocco Paolino
Respondent Lawyers(s): Rocco D. Paolino
Arbitrator(s): Paul T. Green
Hearing Site: Hartford, CT
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| 10-04903 | 03/26/2012 | Claimant(s): Jeff Shamis
Claimant Lawyers(s): Phillip J. Snyderburn
Respondent(s): Andrew Boneparth, Karen Harvey
Respondent Lawyers(s): Michael S. Hill, Phillip J. Snyderburn
Arbitrator(s): Amanda M. Cole, Larry G. Kjosa, George R. Mayer
Hearing Site: Jacksonville, FL
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| 11-00526 | 03/26/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Joseph Truglio
Respondent Lawyers(s): Joseph Ted Truglio
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
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| 10-05540 | 03/23/2012 | Claimant(s): Source Capital Group.
Claimant Lawyers(s): Mitchell H Cobert
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd Clareman
Arbitrator(s): Robert Manfredo, Nancy Plesser Wendell, C. Kenneth Yoblon
Hearing Site: New York, NY
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| 11-02061 | 03/23/2012 | Claimant(s): Denis Thibeault, Paul Torti
Claimant Lawyers(s): Denis Emery Thibeault, Paul J. Torti
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): Missy Daboul Margolis, John Manning Herr, Evalyn Lipton Fishbein
Hearing Site: Providence, RI
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| 11-03600 | 03/23/2012 | Claimant(s): Frank Monte
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Richard Nelson
Respondent Lawyers(s): Richard John Nelson
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
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| 10-04290 | 03/22/2012 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Deborah G. Evans
Respondent(s): Eric Dishner
Respondent Lawyers(s): Eric M. Dishner
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Tampa, FL
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