| 11-00051 | 10/14/2011 | Claimant(s): Vfinance Investments
Claimant Lawyers(s): Billy Groeneveld
Respondent(s): Automated Trading Desk Financial Service
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): John M. Eadie, Morton D. Siegel, Lee Alan Rosenblum
Hearing Site: Boca Raton, FL
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| 09-05786 | 10/13/2011 | Claimant(s): Harley Kaplan, Beta Industries.
Claimant Lawyers(s): Chesley Oriel
Respondent(s): Timothy Shanahan, Compass Capital Corporation, Compass Securities Corporation
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Joan Stearns Johnsen, William I. Carmen, Zenon Charles Tencza
Hearing Site: Boston, MA
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| 10-05504 | 10/13/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Stuart Kimball
Respondent Lawyers(s): Stuart K. Kimball
Arbitrator(s): Richard E. Miley
Hearing Site: Columbia, SC
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| 11-01220 | 10/13/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Aaron MacNear
Respondent Lawyers(s): Aaron Roland MacNear
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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| 10-04805 | 10/12/2011 | Claimant(s): James Rathgeber
Claimant Lawyers(s): James A. Rathgeber
Respondent(s): Antony Turberville, David Locy, David McCoy, Denise Zumbrun, Kyong Kim, Paul Balog, Phil Fatta, Brookstone Securities.
Respondent Lawyers(s): Christopher L. Van De Water, Marc L. Abramson
Arbitrator(s): Gilbert F. Bach, Mary Lou McGanney, Marion F. Posner
Hearing Site: New York, NY
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| 11-00921 | 10/12/2011 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): William Miller
Respondent Lawyers(s): William Donald Miller
Arbitrator(s): R. Phillip Reed
Hearing Site: Wichita, KS
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| 08-05019 | 10/11/2011 | Claimant(s): Dalila Costa-Leroy
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Douglas H. Wigdor
Arbitrator(s): Harvey Barrison, Leah R. Marks, Erica Levitt
Hearing Site: New York, NY
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| 10-01868 | 10/11/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): William Cerf
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
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| 10-04102 | 10/11/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Kenneth Wingerter
Respondent Lawyers(s): Kenneth S. Wingerter
Arbitrator(s): Patricia A. Renovitch, Joseph J. Castro, Arthur P. Barry
Hearing Site: Atlanta, GA
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| 10-04569 | 10/11/2011 | Claimant(s): Lehman Brothers Holdings.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jennifer Mitchell
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): David N. Brainin
Hearing Site: New York, NY
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