| 10-04426 | 12/28/2011 | Claimant(s): Eric Goldstein
Claimant Lawyers(s): Adam D. Herzog
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Lynn U. Thorpe
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
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| 10-04595 | 12/28/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Tony Sanchez
Respondent Lawyers(s): Tony D. Sanchez
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
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| 11-01895 | 12/28/2011 | Claimant(s): Eric Broili
Claimant Lawyers(s): Robert T. Sullwold
Respondent(s): Andrew Crowell, The Andrew N. Crowell Family Trust
Respondent Lawyers(s): Bruce D. Oakes
Arbitrator(s): Nancy Hutt, Michael R.E. Sanders, Leonard Jeffrey Stecklow
Hearing Site: Reno, NV
| | Expungement |
| 11-02587 | 12/28/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Robert Wachholder
Respondent Lawyers(s): Wendy Byndloss
Arbitrator(s): Jack A. Helms
Hearing Site: Orlando, FL
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| 10-01557 | 12/27/2011 | Claimant(s): Stephen Colavito
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Nicholas H. De Baun
Arbitrator(s): Kenneth R. Woods, Carrie E. Wisniewski, Marian Cover Dockery
Hearing Site: Atlanta, GA
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| 11-00671 | 12/27/2011 | Claimant(s): Barclays Capital.
Claimant Lawyers(s): Andrea Block
Respondent(s): Felipe Coello, Tom Kalaris
Respondent Lawyers(s): Andrea Block, Douglas A. Kahle
Arbitrator(s): Jack Stein, Ellen J. Abrams, Paul J. Burkhart
Hearing Site: Ft. Lauderdale, FL
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| 10-02045 | 12/23/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Simone A. Muscarnera, Barbara Weisman, Thomas A. Abitabile
Hearing Site: Newark, NJ
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| 10-05101 | 12/22/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Edward Lawrence
Respondent Lawyers(s): Edward Lawrence
Arbitrator(s): J. Maxwell Williams
Hearing Site: Houston, TX
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| 10-05198 | 12/22/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Derek Miller
Respondent Lawyers(s): Derek L. Miller
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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| 11-00341 | 12/22/2011 | Claimant(s): Sean McGrover
Claimant Lawyers(s): Sean Patrick McGrover
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Fleming
Respondent Lawyers(s): Peter R. Rosenzweig
Arbitrator(s): Maurice M. Feller, Stephen A. Saker, Robert M. Bath
Hearing Site: Orlando, FL
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