| 12-04108 | 10/10/2014 | Claimant(s): John Wellborn
Claimant Lawyers(s): Jonathan E. Newman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Kendall P. Hill, John D. Mattingly, Orville Barrington Wright
Hearing Site: Birmingham, AL
|  | $0 |
| 14-01045 | 10/10/2014 | Claimant(s): Michael Giannone
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
| | $213 |
| 13-00167 | 10/09/2014 | Claimant(s): Eliezer Aldarondo-Ortiz
Claimant Lawyers(s): Eliezer A. Aldarondo-Lopez
Respondent(s): Carlos Ortiz Leon, Edgardo Cabanillas, UBS Financial Services Inc., Miguel Ferrer, UBS Financial Services Inc Of PR, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Guillermo J. Bobonis, Roberto Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Bernard A. Becker, Adrien Sapiro
Hearing Site: San Juan, PR
| | $0 |
| 12-02080 | 10/08/2014 | Claimant(s): The Arthur E. Strunk Revocable Trust, da
Claimant Lawyers(s): John Hubbard
Respondent(s): Morgan Stanley, Shawn Burr
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Marvin I. Horowitz, Robert J. Scafuri, Anthony Allen Mogle
Hearing Site: Detroit, MI
| | $75,000 |
| 13-00223 | 10/08/2014 | Claimant(s): Barbara Lansdown, Roy Lansdown
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): NSM Securities.
Respondent Lawyers(s): Niyukt Bhasin
Arbitrator(s): Ronald W. Devoe
Hearing Site: Miami, FL
| | $86,000 |
| 13-01951 | 10/08/2014 | Claimant(s): Willie Cabbil
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): David Miller, Eileen Fannon, Kelly Miller, Laura Tedball, Resource Horizons Group
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): James Edward Seale, Neil Harvey Smith, Orville Barrington Wright
Hearing Site: Birmingham, AL
| | $355,230 |
| 13-01974 | 10/08/2014 | Claimant(s): Nancy Battel
Claimant Lawyers(s): Nancy M. Battel
Respondent(s): Aileen Low, Edward Jones, Benetech.
Respondent Lawyers(s): Jennifer M. Porter, Rene I. Gamboa
Arbitrator(s): Thomas D. Reese, Peter H. Daly, Louis Anthony Napoli
Hearing Site: San Francisco, CA
| | $0 |
| 13-02978 | 10/08/2014 | Claimant(s): Barbara Hazle, William Hazle
Claimant Lawyers(s): William Hazle
Respondent(s): Walter Grenda
Respondent Lawyers(s): Walter Francis Grenda
Arbitrator(s): Michael E. Weddington, Michael J. Pasquale, Charles Robert Moore
Hearing Site: Raleigh, NC
| | $0 |
| 13-00808 | 10/07/2014 | Claimant(s): Vincent Vasta
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Morton S. Bunis, S. Charles Tabak, Richard C. Antonelli
Hearing Site: Newark, NJ
| | $0 |
| 13-02122 | 10/07/2014 | Claimant(s): Jerry Camilli
Claimant Lawyers(s): Jonathan Kurta
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Thaddeus J. Tecza, Robert John Wagener, James Mark Eason
Hearing Site: Albuquerque, NM
| | $1,128,700 |
