| 12-02626 | 07/24/2013 | Claimant(s): David Broadwell, David W. Broadwell Revocable Trust
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Gerald Silverman
Hearing Site: Ft. Lauderdale, FL
|  | $56,625 |
| 12-03734 | 07/24/2013 | Claimant(s): Scott Gordon
Claimant Lawyers(s): Scott Gordon
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Thomas H. Barnard
Hearing Site: Charleston, WV
| | $0 |
| 11-03109 | 07/23/2013 | Claimant(s): Lincoln Mendez
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Joseph L. Bernstein
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 12-01975 | 07/23/2013 | Claimant(s): Alex Binai
Claimant Lawyers(s): D. Daxton White
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michelle Judy Brant, Sterling N. Frost, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | $0 |
| 11-03559 | 07/23/2013 | Claimant(s): Varoujan Khorozian
Claimant Lawyers(s): Matthew M. Keshisian
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo Kogan
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 11-03613 | 07/23/2013 | Claimant(s): Asset Protection Plans.
Claimant Lawyers(s): S. David Anton
Respondent(s): Oppenheimer & Co.., Joseph Vaccaro
Respondent Lawyers(s): Peter Byer, Ruthann Granito Niosi
Arbitrator(s): Richard R. Logsdon, Darlene M. Andert, Steele Thomas Williams
Hearing Site: Tampa, FL
| | $0 |
| 12-03746 | 07/23/2013 | Claimant(s): Alfonso A. Larriva
Claimant Lawyers(s): Alfonso A. Larriva
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
| | $0 |
| 11-04690 | 07/22/2013 | Claimant(s): Carol Kafka, Candice Company., Father & Sons Contractors., Father and Son's Home Improvement II,, Riverside Management., Riverside Realty.
Claimant Lawyers(s): Charles Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Mark L Miller, Edward Louis Koven, Edward Johannes Hertenstein
Hearing Site: Chicago, IL
| | $0 |
| 12-01905 | 07/22/2013 | Claimant(s): Robert Melkesian, Carl Deters IRA
Claimant Lawyers(s): Robert S. Banks
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): James John Jurinski, Bert P. Krages, Grant Franklin Yoakum
Hearing Site: Portland, OR
| | $132,095 |
| 12-02066 | 07/22/2013 | Claimant(s): John Santiago
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Joel P. Mellis
Hearing Site: New York, NY
| | $0 |
