| 13-02190 | 11/03/2014 | Claimant(s): JZ Family Partnership Limited, LTD, The Jerome Zimmerman Personal Trust
Claimant Lawyers(s): Steven M Katzman
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Mark C. Perry, Myron E. Levenson, Stephen Kahane
Hearing Site: Boca Raton, FL
|  | $0 |
| 14-00819 | 10/31/2014 | Claimant(s): Barbara Gusie, Carl Gusie
Claimant Lawyers(s): Rasheed Karim Allen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Dempsey
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Alfred Brunette
Hearing Site: Tampa, FL
| | $0 |
| 14-00486 | 10/30/2014 | Claimant(s): Jeffrey W. Miller, IRA
Claimant Lawyers(s): Jeffrey W. Miller
Respondent(s): Camille Tavares, Pershing LLC, Robert Michael, Thomas Phillips, First Allied Securities.
Respondent Lawyers(s): Anne K. Yannakakis, Jane Myers
Arbitrator(s): Benjamin B. Segel
Hearing Site: Cincinnati, OH
| | $0 |
| 13-00955 | 10/29/2014 | Claimant(s): Lorraine Witzel, Ralph Witzel
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): American Portfolios Financial Serv.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Richard A. Mosman, Jeffrey W. Jacobs, Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | $0 |
| 13-01771 | 10/29/2014 | Claimant(s): Robert Brendell
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., William Seyle
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Jim Geiger, John Michael Derderian, L. Martin Miller
Hearing Site: Philadelphia, PA
| | $0 |
| 13-01903 | 10/29/2014 | Claimant(s): John Artuso, William Backus
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Kevin R. Zehe, Richard S. Hines, Eileen B. Vernon
Hearing Site: Cleveland, OH
| | $0 |
| 11-03182 | 10/28/2014 | Claimant(s): Man Fong Wong
Claimant Lawyers(s): John J O'Connell
Respondent(s): 1st Discount Brokerage.
Respondent Lawyers(s): Robert G. Haile
Arbitrator(s): William G. Binckes, Irene C. Warshauer, Alida D. Camp
Hearing Site: New York, NY
| | $5,994 |
| 13-01603 | 10/28/2014 | Claimant(s): Annabelle Relf, Jeffrey Relf
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): David Rogers, Dwight Badger, Keith Beck, Keith Daubenspeck, Matthew Gartner, Advanced Equities.
Respondent Lawyers(s): Amal S. Amin, Howard R. Elisofon, Keith Eric Beck
Arbitrator(s): Jeff Kilgore, Lynne M. Gomez, John Chelsea Allman
Hearing Site: Houston, TX
| | $0 |
| 13-02640 | 10/28/2014 | Claimant(s): Robert Branscombe
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Ronald L. Cheney, B. J. Krintzman, Philip S. Wellman
Hearing Site: Manchester, NH
| | $0 |
| 13-02842 | 10/28/2014 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Chesley Oriel, Zenon Charles Tencza, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
