| 12-01511 | 05/14/2013 | Claimant(s): Carrie Meyers, Joseph Meyers
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Linda Ashley, Howard A. Litvack, Louis P. Wagman
Hearing Site: New York, NY
|  | $0 |
| 12-02899 | 05/14/2013 | Claimant(s): Michael Reilly, Trustee of The Reilly
Claimant Lawyers(s): Teresa J. Verges
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Mark C. Perry, Steven A. Hurst, Monroe Mitchel
Hearing Site: Boca Raton, FL
| | $0 |
| 11-03097 | 05/14/2013 | Claimant(s): Garret Wyckoff IRA, Garret Wyckoff and Judy Wyckoff JTTen
Claimant Lawyers(s): Howard W. Hirschhorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Ilyse Roberta Levison, Morton S. Bunis, Edward W. Morris
Hearing Site: New York, NY
| | $0 |
| 12-03920 | 05/13/2013 | Claimant(s): Dean Wiltshire, Jerret Brantley, Pauline Rhiney
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Robert Van Zandt
Respondent Lawyers(s): Robert Henry Van Zandt
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
| | $52,762 |
| 12-00242 | 05/13/2013 | Claimant(s): Linda Hall, Robert Hall
Claimant Lawyers(s): Linda A Hall, Robert D. Hall
Respondent(s): Gary Klem, Morgan Stanley
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Peter A. Scarpato
Hearing Site: Philadelphia, PA
| | $0 |
| 12-01099 | 05/13/2013 | Claimant(s): Jamie Kaufman, Jeffery Jordan
Claimant Lawyers(s): David P. Meyer
Respondent(s): ProEquities.
Respondent Lawyers(s): Melinda L. Peevy
Arbitrator(s): Lisa Shusterman, Christy K. Radigan, Regina F. Burch
Hearing Site: Columbus, OH
| | $0 |
| 08-03782 | 05/10/2013 | Claimant(s): Alyce Johnson, Andrew Balistreri, Anita Robertson, Ann Solomon, Ardeth Ullman, Barbara Grant, Beulah Flood, Carmen Yaskewich, Carol Brochini, Cary Tremewan, Catherine Hanoum, Darlene Harris, David Hinkel, Diane Kinzli, Donald King, Doreen Elkins, Dorothy Jones, Duncan Grant, Ernest Kinzli, Frank Thomas, et al
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Ruthe Gomez, Financial Networks Group, NDX Trading., Traderight Securities.
Respondent Lawyers(s): Christopher Nelson, Michael J. Rukujzo, Patrick Baldwin
Arbitrator(s): James N. D'Orso, M. Scott Donahey, Rahul K. Surana
Hearing Site: San Francisco, CA
| | $4,277,740 |
| 11-03373 | 05/10/2013 | Claimant(s): Crown Metal Employee Manufacturing
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | $0 |
| 12-00835 | 05/10/2013 | Claimant(s): Supplemental Needs Trust
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | $0 |
| 11-02043 | 05/09/2013 | Claimant(s): Tracy Landow
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Goldman, Sachs and Company, John Blondel
Respondent Lawyers(s): Mark Cohen
Arbitrator(s): Fern Sue Reidman, April D. Bowie, Susan Manca
Hearing Site: New York, NY
| | $1,647,910 |
