| 10-04058 | 12/07/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Craig Isaacson
Respondent Lawyers(s): Craig E. Isaacson
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
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| 11-02805 | 12/06/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken Massey
Respondent(s): Gerald Ramirez
Respondent Lawyers(s): Gerald Daniel Ramirez
Arbitrator(s): Jon C. Milliken
Hearing Site: San Diego, CA
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| 11-01808 | 12/05/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Gerald O'Lear
Respondent Lawyers(s): Gerald A. O'Lear
Arbitrator(s): Richard B. Ancowitz
Hearing Site: Buffalo, NY
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| 10-00927 | 12/02/2011 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James E. Siegel
Respondent(s): Mourad Jridi
Respondent Lawyers(s): Reynaldo G. Geerken
Arbitrator(s): Robert Pincus, Douglas F. Stone, Martin H. Zern
Hearing Site: New York, NY
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| 10-02602 | 12/02/2011 | Claimant(s): A.K. Capital
Claimant Lawyers(s): Matthew E. Lipman
Respondent(s): Thomas McHugh, The Princeridge Group LLC, Triton Funding Partners
Respondent Lawyers(s): Daniel Cevallos, Victor C. Bushell
Arbitrator(s): Randolph Guggenheimer, Ellyn S. Roth, Robert Bartels
Hearing Site: New York, NY
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| 10-02853 | 12/02/2011 | Claimant(s): Daniel Losito
Claimant Lawyers(s): Douglas A. Kahle
Respondent(s): Dennis Encapera, Felix Ajegbo, GoNow Securities.
Respondent Lawyers(s): Dennis Paul Encapera, Ephraim O. Obi
Arbitrator(s): George J. Blutstein, Richard J. Kaplan, Michael Edward Geringer
Hearing Site: Boca Raton, FL
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| 10-05204 | 12/02/2011 | Claimant(s): Daniel Mody, Eric Krouse, Pinnacle Investments
Claimant Lawyers(s): David L. Ward
Respondent(s): Alan Barham, George Haskins, Louis Panigrosso, Rudolph Panigrosso
Respondent Lawyers(s): Charles O. Ingraham
Arbitrator(s): Frank C. Fogl, Madhu C. Trivedi, Robert J. Allen
Hearing Site: Syracuse, NY
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| 11-01540 | 12/02/2011 | Claimant(s): Commonwealth Equity Services.
Claimant Lawyers(s): Joe Tully
Respondent(s): John Kai
Respondent Lawyers(s): John Kaleihiehie Kai
Arbitrator(s): Thomas D. Reese
Hearing Site: Honolulu, HI
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| 11-01918 | 12/02/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): James Pihaly
Respondent Lawyers(s): James Richard Pihaly
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
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| 10-03128 | 12/01/2011 | Claimant(s): Greif & Co.
Claimant Lawyers(s): Louis R. Miller
Respondent(s): David Iannini, Lloyd Greif
Respondent Lawyers(s): Amnon Z. Siegel, David Iannini
Arbitrator(s): Robert J. Ruben, Norman Michael Garland, William Michael Fallon
Hearing Site: Los Angeles, CA
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