| 11-03815 | 03/27/2015 | Claimant(s): Walrus Master Fund Limited
Claimant Lawyers(s): Michael S. Schlesinger
Respondent(s): Goldman, Sachs and Company, Goldman Sachs Execution & Clearing, L.P.
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Boyd H. Scheff, Jean C. Black, David J. Weisenfeld
Hearing Site: New York, NY
|  | $0 |
| 14-00800 | 03/27/2015 | Claimant(s): Michael Gregory Duke
Claimant Lawyers(s): Michael Duke
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Cornelius C. Clancy, Diane Ciccone, Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
| 14-01160 | 03/27/2015 | Claimant(s): Gregory Piro
Claimant Lawyers(s): Gregory V. Piro
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Robert F. Sanville
Hearing Site: Philadelphia, PA
| | $25 |
| 14-00193 | 03/26/2015 | Claimant(s): James Gribble, Mary McCabe, Robert Gribble
Claimant Lawyers(s): Theodore J. Hodan
Respondent(s): Christine Gribble
Respondent Lawyers(s): Erin M. Strohbehn
Arbitrator(s): Stuart S. Mukamal, Gerald J. Thain, Donald Dreyfus
Hearing Site: Milwaukee, WI
| | $300,000 |
| 13-03490 | 03/26/2015 | Claimant(s): Joan Peterson
Claimant Lawyers(s): Mark Peterson
Respondent(s): Eric Klaus, Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Richard J. Fuller
Hearing Site: Tampa, FL
| | $0 |
| 13-01678 | 03/25/2015 | Claimant(s): James P. Barry Flite Trust dtd 12/31/01
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Martin M. Van Luven, Marvin S. Lava, Sidney Turner
Hearing Site: Boca Raton, FL
| | $0 |
| 13-02888 | 03/25/2015 | Claimant(s): Leslie Kraynak, Robert Kraynak, Leslie A. Kraynak IRA, Robert C. Kraynak IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Mark S. Priver, Steven A. Wawra, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $0 |
| 13-01790 | 03/24/2015 | Claimant(s): Larry Davis and Barbara Davis, JTTEN
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert L. Agusto, Ronald A. Lavery, Michael I. White
Hearing Site: Chicago, IL
| | $0 |
| 13-02687 | 03/24/2015 | Claimant(s): Sumant Rawat, Sumant Rawat MD Keogh Profit Sharing Pla
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Donald N. Tolin, Baldwin Ranson
Hearing Site: Denver, CO
| | $0 |
| 14-00231 | 03/24/2015 | Claimant(s): Diana Silvar, Joseph Romano, Kevin Silvar
Claimant Lawyers(s): Kristian P. Kraszeweski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Marguerite B. Filson
Hearing Site: New York, NY
| | $0 |
