| 12-03778 | 12/08/2014 | Claimant(s): Kimberly Bauers
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): Charles Schwab & Co.., Richard Rodriguez
Respondent Lawyers(s): Anthony Valenzuela
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
|  | $0 |
| 12-03245 | 12/05/2014 | Claimant(s): Robert Schneider, RBB
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi, Senior Counsel
Arbitrator(s): Carl Shechter, Don R. Harris, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | $0 |
| 13-00911 | 12/05/2014 | Claimant(s): Chatur Chhabbhaya
Claimant Lawyers(s): Chatur Chhabbhaya
Respondent(s): Ivan Angulo, Kishankumar Koladiya, Niyukt Bhasin, NSM Securities.
Respondent Lawyers(s): Ivan Dario Angulo, Kishankumar M. Koladiya, Niyukt Raghu Bhasin, Niyukt Bhasin
Arbitrator(s): Robert H. Putnam, John F. Allgood, Osei J Adoma
Hearing Site: Atlanta, GA
| | $0 |
| 14-00455 | 12/05/2014 | Claimant(s): Michael Petrocci, Palema Petrocci
Claimant Lawyers(s): John Benjamin Carroll
Respondent(s): Wells Fargo Advisors, Clive Buchan, Raymond Patraw
Respondent Lawyers(s): William S. Port
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Syracuse, NY
| | $866 |
| 14-00581 | 12/05/2014 | Claimant(s): Ralph Rubin, Terry Rubin, Trustee of Doris Goodman
Claimant Lawyers(s): Todd A Zuckerbrod
Respondent(s): PNC Investments LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Kimberly A. Gilmour, Joel F. Martineau, James Chris Mills
Hearing Site: Boca Raton, FL
| | $0 |
| 13-03528 | 12/04/2014 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Ana Maria Ignat
Respondent(s): CMCOLL Investment, LLLP
Respondent Lawyers(s): David Smith
Arbitrator(s): Debra A. Jenks, Jay L. Valinsky, Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | $0 |
| 12-03047 | 12/04/2014 | Claimant(s): Roni Raviv, Blue Sky Resources
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nicolas S. Komyati
Arbitrator(s): Robert E. Anderson, Deborah A. Shapiro, David A. Schwarz
Hearing Site: New York, NY
| | $0 |
| 13-02089 | 12/04/2014 | Claimant(s): Mary Osborne
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Rody P. Biggert
Hearing Site: Chicago, IL
| | $0 |
| 14-00113 | 12/04/2014 | Claimant(s): George A. Francis Revocable Trust dtd 11
Claimant Lawyers(s): George A. Francis
Respondent(s): Dewey Darwin, Mark Lippman
Respondent Lawyers(s): Chad Weaver, Mark Lippman
Arbitrator(s): Patricia G. Parthe
Hearing Site: Phoenix, AZ
| | $0 |
| 13-02525 | 12/04/2014 | Claimant(s): Jean Schott
Claimant Lawyers(s): Matthew S. Rork
Respondent(s): Shareholders Service Group.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Charles G. Michaels, Samuel L. McClaren, Mary C. Davis
Hearing Site: Denver, CO
| | $120,000 |
