| 12-00037 | 05/28/2013 | Claimant(s): Estelle Kranzberg, Morris Kranzberg
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Richard S. Zaifert
Hearing Site: Boca Raton, FL
|  | $0 |
| 12-00091 | 05/28/2013 | Claimant(s): Myron Kopin, Dr. Myron Kopin IRA
Claimant Lawyers(s): John Henke
Respondent(s): Adolph Tieppo, Florence Klein, Southwest Securities., American Classic Financial Company
Respondent Lawyers(s): Anthony R. Paesano, Hyman Schaffer, Jonathan D. Neerman, Tiffany Cinquemani
Arbitrator(s): John P. Gouttiere, Lee Hornberger, Lisa Sue Fildes
Hearing Site: Detroit, MI
| | $303,000 |
| 12-00711 | 05/28/2013 | Claimant(s): Myron Murray, Rita Murray
Claimant Lawyers(s): Rosemary J. Shockman
Respondent(s): Gordon Yee
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): I. Douglas Dunipace, Thomas A. Peterson, Virginia H. Wertz
Hearing Site: Phoenix, AZ
| | $100,400 |
| 12-00809 | 05/28/2013 | Claimant(s): Fae Silver
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Paul H. Lamboley, Merrill Dean Taylor, John G. Manley
Hearing Site: Las Vegas, NV
| | $0 |
| 12-03748 | 05/28/2013 | Claimant(s): Frederick Kaiser
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | $600 |
| 11-04063 | 05/24/2013 | Claimant(s): Steven Mink
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Augusta, ME
| | $0 |
| 12-02041 | 05/24/2013 | Claimant(s): Judith Gardiner, Judith Gardiner Revocable Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Linda M. Granata, Herbert Branitsky, Harris Gally
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 11-03853 | 05/24/2013 | Claimant(s): Estate of Marjorie Christian
Claimant Lawyers(s): Howard Christian
Respondent(s): Angelo Anello, Brian Lannigan, Christopher Foley, Merrill Lynch Pierce Fenner & Smith Inc., Patrick Sands, Tracy Maynor
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Mary C. Kelleher, June Y. Kilmarx, William I. Carmen
Hearing Site: Boston, MA
| | $0 |
| 12-03671 | 05/23/2013 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): David Konsky d/b/a Forest Advisors
Respondent Lawyers(s): David Konsky
Arbitrator(s): David Finnegan
Hearing Site: New York, NY
| | $0 |
| 10-02089 | 05/23/2013 | Claimant(s): Denise Balisciano, Edmund Balisciano
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): James Rapuano
Respondent Lawyers(s): James Michael Rapuano
Arbitrator(s): Brian J. Dunn
Hearing Site: Hartford, CT
| | $79,719 |
