| 12-00756 | 12/11/2014 | Claimant(s): Bernie Bernheim APC Retirement Trust
Claimant Lawyers(s): Nazo S. Semerdjian
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Edward J. Costello
Hearing Site: Los Angeles, CA
|  | $0 |
| 13-00818 | 12/11/2014 | Claimant(s): Voecks Trust U/T/A DTD 05/19/2005
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Linda M. McCoy, Joseph M. Fabricatore, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | $0 |
| 14-00287 | 12/11/2014 | Claimant(s): Cary Moomjian
Claimant Lawyers(s): Cary A. Moomjian
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Philip I. McConnell, Lisa A Randall-Haag, Robert J. Steele
Hearing Site: Dallas, TX
| | $0 |
| 14-00589 | 12/11/2014 | Claimant(s): Brown Family Trust
Claimant Lawyers(s): Scott Brown
Respondent(s): Robin Naylor, Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo, Robin Naylor
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | $0 |
| 13-00495 | 12/10/2014 | Claimant(s): Donna Tait, Donna R. Tait IRA, Donna R. Tait Spousal IRA, Tait Marital Deduction Trust
Claimant Lawyers(s): Christopher Mader
Respondent(s): Craig Johnsen, Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group
Respondent Lawyers(s): William E. Fitzharris
Arbitrator(s): Laurie E. Law, Al Van Kampen, Ann Sattler
Hearing Site: Seattle, WA
| | $0 |
| 13-01753 | 12/10/2014 | Claimant(s): Annalisa Mendez, Billye Turner, Catherine Hamilton, Daniel O'Malley, David Rubin, Dawn Rubin, Deborah Crowell, Delphaine Smith, Edwin Sanford, Harvey Trammell, Horacio Mendez, James Hamilton, John Turberville, Kerry Rinehart, Larry Davis, Marilyene Davis, Michael Long, Pamela Meador, Peter Isaac, Richard Turner, et al
Claimant Lawyers(s): Donald L. Ferguson, Michael E. Criden, Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Lawyers(s): Elizabeth F. Edwards
Arbitrator(s): Jeffrey M. Aboloff, Karen Roberts Washington, Clark Willis Richards
Hearing Site: Houston, TX
| | $0 |
| 14-00454 | 12/10/2014 | Claimant(s): Tuyen Ta
Claimant Lawyers(s): Tuyen Max Ta
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): O. Meredith Wilson
Hearing Site: Portland, OR
| | $38 |
| 14-00684 | 12/09/2014 | Claimant(s): G. Judd
Claimant Lawyers(s): Jan Graham
Respondent(s): William Loucks, Secu Brokerage Services
Respondent Lawyers(s): Michael L. Weisel, Wm. Kelly Nash
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
| | $0 |
| 11-03024 | 12/08/2014 | Claimant(s): Natasha Jiovino, Route 36 East LLC
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Michael Fischetti, Micalyn S. Harris, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | $0 |
| 13-00366 | 12/08/2014 | Claimant(s): Michael Hammel, Michael D. Hammel IRA
Claimant Lawyers(s): Ryan Cook, Samuel B. Edwards
Respondent(s): James Bernthal, Qi Huang, Stephen Grivas, Upinder Sharma, Obsidian Financial Group
Respondent Lawyers(s): James Rhys Bernthal, Kevin Sharma, Qi Huang, Stephen Grivas, Upinder Kumar Sharma
Arbitrator(s): Kathryn J. Toronto, Barbara M. Anscher, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | $182,932 |
