| 12-00383 | 05/31/2013 | Claimant(s): Gerard Murphy and Christina B. Murphy
Claimant Lawyers(s): Shawn C. Maybon
Respondent(s): David Decker, John Meppen, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Seymour A. Kolman, Daniel B. MacLeod, Robert Sachs Mandelson
Hearing Site: Boise, ID
|  | $0 |
| 12-03463 | 05/31/2013 | Claimant(s): Joanna N. Sobran, IRA
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Julie Casserly
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | $0 |
| 12-01061 | 05/31/2013 | Claimant(s): Peggy Greene, Sucessor Ttee tr. agr. dtd May 23, 1996
Claimant Lawyers(s): D. Reece Williams
Respondent(s): Synovus Securities.
Respondent Lawyers(s): Benjamin B. Coulter
Arbitrator(s): Laurence M. Scoville, Patricia Ann Tracey, James Risen Gard
Hearing Site: Columbia, SC
| | $0 |
| 11-01461 | 05/30/2013 | Claimant(s): Commercial National Bank of Texarkana
Claimant Lawyers(s): Kimberly A. Justice
Respondent(s): J.P. Morgan Securities, Robert Heinz, Bear Stearns & Co..
Respondent Lawyers(s): Lauri W. Sawyer, Saul C. Belz
Arbitrator(s): Julius Z. Frager, Patricia Best Vital, Elton W. Chartrand
Hearing Site: Little Rock, AR
| | $0 |
| 11-03125 | 05/30/2013 | Claimant(s): Bert Nisonoff
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Ted M. Rosen, Denzil J. Klippel, Allan E. Johnson
Hearing Site: New York, NY
| | $0 |
| 11-03651 | 05/30/2013 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): WFP Securities
Respondent Lawyers(s): John Schooler
Arbitrator(s): Henry Hermann, Patricia B. Lehtola, Edward J. Lynch
Hearing Site: Dallas, TX
| | $18,577,000 |
| 12-00280 | 05/30/2013 | Claimant(s): Joe Aizpuru Family Trust
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Portera
Arbitrator(s): William F. Glaser, John Hughes Verchot, A.J. Seier
Hearing Site: Tampa, FL
| | $0 |
| 12-03904 | 05/30/2013 | Claimant(s): Kantilal Desai
Claimant Lawyers(s): Kantilal P. Desai
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
| | $600 |
| 11-03927 | 05/29/2013 | Claimant(s): Linda Rupp, Russell Rupp
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Robert J. Buchner, Philip L. Manczak, Kenneth Herbert Mitchell
Hearing Site: Ft. Lauderdale, FL
| | $735,367 |
| 11-04785 | 05/29/2013 | Claimant(s): Julie Haupt, Robert Haupt, Julie Haupt IRA, Julie Haupt Roth IRA, Robert Haupt IRA, Robert Haupt Roth IRA, Robert K. Haupt Family Revocable Trust
Claimant Lawyers(s): Ronald E. Miller, Thomas C. Bradley
Respondent(s): Dudley Probert, First Allied Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Donald N. Tolin, Suanne M. Parro, David L. Erickson
Hearing Site: Salt Lake City, UT
| | $0 |
