11-03597 | 07/02/2013 | Claimant(s): Deborah Prentice Claimant Lawyers(s): Debra G. Speyer Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Katherine B. Harrison Arbitrator(s): Jennifer L. Bliss, Robert J. Allen, Rocco Michael Scanza Hearing Site: Syracuse, NY
| | $0 |
12-01582 | 07/02/2013 | Claimant(s): Luis Rojas Claimant Lawyers(s): Lars K. Soreide Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sandra Caldera Respondent Lawyers(s): Julie W. Portera Arbitrator(s): Myron E. Levenson, Will Murphy, Soraya Maria Figueiredo Hearing Site: Miami, FL
| | $0 |
12-01753 | 07/02/2013 | Claimant(s): Christianne Meier Claimant Lawyers(s): Robert A. Uhl Respondent(s): Patrick DiGiacomo, Newport Coast Securities. Respondent Lawyers(s): Dan A. Druz Arbitrator(s): Anita Rae Shapiro Hearing Site: Los Angeles, CA
| | $45,860 |
12-01225 | 07/02/2013 | Claimant(s): The Estate of Max Bernstein Claimant Lawyers(s): Samuel Goldman Respondent(s): TD Ameritrade. Respondent Lawyers(s): Dana S. Gloor Arbitrator(s): David S. Billet, Paul K. Barenholtz, Bryan Lane Berson Hearing Site: New York, NY
| | $0 |
12-02817 | 07/02/2013 | Claimant(s): The Estate of Elvira C. Iasso Claimant Lawyers(s): John Narccarelli Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Robert G. Geeseman Hearing Site: Orlando, FL
| | $300 |
11-01330 | 07/01/2013 | Claimant(s): Nifly, LLP Claimant Lawyers(s): Seth E. Lipner Respondent(s): J.P. Morgan Securities Inc. Respondent Lawyers(s): Eugene L. Small Arbitrator(s): Sam Antar, Ellyn S. Roth, Dolores D. Balsamo Hearing Site: New York, NY
| | $55,000 |
11-02937 | 07/01/2013 | Claimant(s): Protostar I Litigation Trust Claimant Lawyers(s): Elizabeth Wolstein Respondent(s): Paul Deninger, Richard Morrison, Jefferies & Company. Respondent Lawyers(s): Hal S. Shaftel Arbitrator(s): Lise Gabrielle Hunter, Walter D. Goldsmith, J.D., Phillip Weitzman Hearing Site: New York, NY
| | $566,667 |
11-04134 | 07/01/2013 | Claimant(s): Randall Strider, Roland Stout, Randy and Randy. Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Leonard E. Benade Hearing Site: Charlotte, NC
| | $0 |
12-01815 | 07/01/2013 | Claimant(s): Cynthia Undesser, John Undesser, Richard Undesser Claimant Lawyers(s): Benjamin Lapin Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Demian J. Betz Arbitrator(s): William M. Getzoff, Rody P. Biggert, Jacqueline Stanley Lustig Hearing Site: Chicago, IL
| | $0 |
12-02636 | 07/01/2013 | Claimant(s): Luke Atwell Claimant Lawyers(s): Luke A. Atwell Respondent(s): E*Trade Clearing LLC Respondent Lawyers(s): Meredith Felde Hoffman Arbitrator(s): Kenneth J. Horowitz Hearing Site: Newark, NJ
| | $0 |