| 11-01014 | 06/14/2013 | Claimant(s): Albert Haynesworth
Claimant Lawyers(s): Philip N. Elbert
Respondent(s): Citigroup Global Markets., John Verble
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Jeffrey M. Bain, Darrell A. Hillis, D. Bruce Shine
Hearing Site: Nashville, TN
|  | $390,000 |
| 12-00187 | 06/14/2013 | Claimant(s): Henry Hansen, Henry F. Hansen, IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | $0 |
| 12-01525 | 06/14/2013 | Claimant(s): Daniel Bollinger
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Kelly Tinsley, UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Gerald L. Fingerhut, John Russell Barlow, Karen A. West
Hearing Site: Raleigh, NC
| | $0 |
| 11-02024 | 06/14/2013 | Claimant(s): Mark Francis
Claimant Lawyers(s): Mark Francis
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Elliot Berman
Hearing Site: New York, NY
| | $0 |
| 11-02628 | 06/14/2013 | Claimant(s): Lutgarda Mical, Stanley Mical
Claimant Lawyers(s): Stanley J. Mical
Respondent(s): E*Trade Securities LLC, Stuart Novoselsky
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Alan E. Case, Philip J. Glick, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | $0 |
| 11-01714 | 06/13/2013 | Claimant(s): Ralph Sergott
Claimant Lawyers(s): Jahan Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Ronald W. Devoe, Thomas Joseph Atkinson, Stephen A. Saker
Hearing Site: Orlando, FL
| | $0 |
| 11-03288 | 06/13/2013 | Claimant(s): Robert E. Faust & Beverley Faust
Claimant Lawyers(s): Neil W. Yahn
Respondent(s): Christopher Sabatino, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Frederic G. Antoun, Regina P. Martorana
Arbitrator(s): Sandra Lee Dolan, Joan M. Smith, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $0 |
| 12-00893 | 06/13/2013 | Claimant(s): Maxine Pope, Michael Pope, The Maxine O. Pope Trust Dated 04-05-90, The Michael Pope Trust Dated 06-09-08
Claimant Lawyers(s): Michael Hume, Thomas C. Bradley
Respondent(s): Wells Fargo Advisors, John Carlsen
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Thomas D. Reese, Mary Margaret Bush, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | $0 |
| 12-02362 | 06/13/2013 | Claimant(s): Gregory Kiernan
Claimant Lawyers(s): Gregory Kiernan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): David L. Binhak, Keely D. Parr, Robert Bartels
Hearing Site: New York, NY
| | $67,254 |
| 11-03393 | 06/11/2013 | Claimant(s): Kendall Grumman
Claimant Lawyers(s): Linda M. Deola
Respondent(s): Harbor Financial Services
Respondent Lawyers(s): Bruce L. Campbell
Arbitrator(s): Gerald D. Wygant, John F. Harris, James R. Medley
Hearing Site: Helena, MT
| | $0 |
