| 13-02265 | 12/01/2014 | Claimant(s): Irmgard Geddes
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): NFP Securities.
Respondent Lawyers(s): Robin Corwin Campbell
Arbitrator(s): Cynthia H. Plishtin, Sam Antar, Jay Alan Kranis
Hearing Site: Newark, NJ
|  | $0 |
| 13-01677 | 12/01/2014 | Claimant(s): Patrick Delaney
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Elizabeth Smith, Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
| | $69,765 |
| 13-01730 | 11/28/2014 | Claimant(s): Anna Sabatino
Claimant Lawyers(s): Evans J. Carter
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | $0 |
| 13-00293 | 11/26/2014 | Claimant(s): Fredrick Griffin
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): William S. Glickfield, William H. Fleece, Arthur J. Zelenak
Hearing Site: Tampa, FL
| | $306,132 |
| 13-02292 | 11/26/2014 | Claimant(s): Charlotte Lucas, Samuel Lucas
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Cindy D. Hinkle
Arbitrator(s): Elton W. Chartrand
Hearing Site: Memphis, TN
| | $46,048 |
| 13-02616 | 11/25/2014 | Claimant(s): Allen Nelson, Susan Nelson, Nelson Realty North Corp. LLC, One Live Oak 4
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Kulch, Next Financial Group.
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Robert Titus, Edward Joseph Boudreau, Peter Andrew Marx
Hearing Site: Manchester, NH
| | $0 |
| 12-03314 | 11/25/2014 | Claimant(s): Egerton Bullock
Claimant Lawyers(s): Ann C. Northern
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Frank M. Suttell, Judith P. Brooks, Patricia A. DeWitt
Hearing Site: New York, NY
| | $0 |
| 13-03578 | 11/25/2014 | Claimant(s): Paul Zachritz
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Byron E. Francis
Arbitrator(s): Michael L. Lyons, Alan A. Sachs, Sheldon Weinhaus
Hearing Site: St. Louis, MO
| | $0 |
| 13-03125 | 11/24/2014 | Claimant(s): Samuel Young
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Jinesh Brahmbhatt
Respondent Lawyers(s): Jinesh Pravin Brahmbhatt
Arbitrator(s): William O. SanFord, La Verne Fletcher, Shelley Simons Korch
Hearing Site: Baltimore, MD
| | $2,100,000 |
| 12-01195 | 11/21/2014 | Claimant(s): Kenneth Janoff
Claimant Lawyers(s): John H. Chambers
Respondent(s): UBS Financial Services Inc., Mark Loder
Respondent Lawyers(s): Robert J. Bocko, Thomas T. Loder
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
| | $0 |
