| 12-01089 | 06/06/2013 | Claimant(s): Barbara Galowitz, Gerald Galowitz
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Langfred W. White, Carole M. Crosby, Mimi B. Osiason
Hearing Site: Tampa, FL
|  | $0 |
| 11-02041 | 06/05/2013 | Claimant(s): Robert Schadewald, IRA
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Edward F. Koren, Shelley J. Michaels, Mary E. Mabry
Hearing Site: Philadelphia, PA
| | $0 |
| 12-00316 | 06/05/2013 | Claimant(s): Deanna Smith, Eric Smith
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Kevin R. Zehe, Joseph Edelstein, Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | $0 |
| 12-02595 | 06/05/2013 | Claimant(s): John Sisk
Claimant Lawyers(s): Timothy Feil
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Judith C. Zerden, Abe I. Borenstein, Denise L. Quarles
Hearing Site: New York, NY
| | $666,690 |
| 11-04356 | 06/05/2013 | Claimant(s): Neil Novikoff
Claimant Lawyers(s): Joseph E. Gasperetti
Respondent(s): Joseph Centra, Richard Ganz, Allocation Resource Group, H. Beck.
Respondent Lawyers(s): Elizabeth A. Schmid
Arbitrator(s): Ira S. Cure, Mary P. Bass, Michele S. Riley
Hearing Site: New York, NY
| | $0 |
| 12-04102 | 06/05/2013 | Claimant(s): Thomas Dolan
Claimant Lawyers(s): Thomas F. Dolan
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): John C. Yeoman
Hearing Site: Atlanta, GA
| | $163 |
| 12-00361 | 06/04/2013 | Claimant(s): Bernetta DeShazior
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Lawrence Cook, PFS Investments Inc.
Respondent Lawyers(s): Mark F. Raymond, Richard L. Martens
Arbitrator(s): Thomas Czinner, William R. Alheim, Paul Chernis
Hearing Site: Miami, FL
| | $187,500 |
| 12-01608 | 06/04/2013 | Claimant(s): Harwich East Plaza LLC
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Victor Cassone, Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges, G. Randall Avery
Arbitrator(s): Sandor I. Rabkin, Carol Di Natale, Paul Peter Nicolai
Hearing Site: Boston, MA
| | $5,088,400 |
| 12-02953 | 06/04/2013 | Claimant(s): Harley Collins
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Richard W. Dissen
Hearing Site: Cleveland, OH
| | $0 |
| 12-03039 | 06/04/2013 | Claimant(s): Paula Maar
Claimant Lawyers(s): Andrew J. Maar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
| | $5,605 |
