| 11-03745 | 06/11/2013 | Claimant(s): Harry Bishop
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Robert T. Allen
Hearing Site: Columbia, SC
|  | $0 |
| 12-04256 | 06/10/2013 | Claimant(s): Richard Clawges
Claimant Lawyers(s): David Neuman
Respondent(s): Raymond Filorimo, Intervest International Equities Corp
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): A. George Saks, Kimberly A. Gilmour, Robin Shenkin-Tepper
Hearing Site: Boca Raton, FL
| | $0 |
| 11-02351 | 06/07/2013 | Claimant(s): David Rome, Ellen Rome, as Trustee for the Pyle Rome, Warren H. Pyle, Ttee of Warren H Pyle
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Susan E. Maloney, Barry Joseph Fiske, John Francis Markuns
Hearing Site: Boston, MA
| | $0 |
| 12-04183 | 06/07/2013 | Claimant(s): Carol Swearingen, Darrell Swearingen
Claimant Lawyers(s): Joshua Kons
Respondent(s): Carl Vandenburg
Respondent Lawyers(s): Carl Andrew Vandenburg
Arbitrator(s): Christine C. DeMoss
Hearing Site: Minneapolis, MN
| | $25,300 |
| 10-04105 | 06/07/2013 | Claimant(s): Inversiones Interven, LTD
Claimant Lawyers(s): Robert H. Fernandez
Respondent(s): James Barry, Barry Financial Group
Respondent Lawyers(s): Allan M. Lerner, James D. Sallah, Robert L. Jennings
Arbitrator(s): Mark A. Buckstein
Hearing Site: Boca Raton, FL
| | $0 |
| 12-03669 | 06/07/2013 | Claimant(s): Ara Hisarliyan
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): E1 Asset Management.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Michael H. DuBoff
Hearing Site: New York, NY
| | $300 |
| 12-01887 | 06/06/2013 | Claimant(s): Rakesh Sharma
Claimant Lawyers(s): Richard C. Downing
Respondent(s): NSM Securities.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Paul Mann, F. Guthrie Castle, Elton W. Chartrand
Hearing Site: Little Rock, AR
| | $155,300 |
| 12-03516 | 06/06/2013 | Claimant(s): Frank Husson
Claimant Lawyers(s): Frank D. Husson
Respondent(s): Brookville Capital Partners
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Michael D. Briggs
Hearing Site: San Diego, CA
| | $13,002 |
| 12-00899 | 06/06/2013 | Claimant(s): Joyce Selvig
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Fidelity Brokerage Services LLC, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione, John Starnes
Arbitrator(s): Henry G. Nothnagel, Marilee Roberg, James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
| 12-00919 | 06/06/2013 | Claimant(s): Linda Savitch
Claimant Lawyers(s): Victor P. Muskin
Respondent(s): Frank Palombo, Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Leonard M. Bakal, Vincent C. Pangia, Brian John Gallagher
Hearing Site: New York, NY
| | $0 |
